Over the last few years, broker dealers and financial advisors have filed a flurry of legal actions seeking both: (1) to strip the Financial Industry Regulatory Authority (FINRA) of its power to adjudicate customer and...more
8/8/2025
/ Appeals ,
Arbitration Agreements ,
Broker-Dealer ,
Constitutional Challenges ,
Dispute Resolution ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Jury Trial ,
Popular ,
Regulatory Authority ,
Securities and Exchange Commission (SEC) ,
Seventh Amendment ,
Statutory Interpretation
TV shows about lawyers are exciting, fast-paced and sexy. Not so much in real life. While entertaining, attorney TV shows do not reflect the reality of how litigation is conducted and can have a negative effect on what people...more