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Quarles & Brady LLP

Prevailing Against FINRA Investor Complaints

Quarles & Brady LLP on

In 2007, the United States Securities and Exchange Commission approved the creation of the Financial Industry Regulatory Authority (FINRA), and the FINRA arbitration forum officially came into being. ...more

Bressler, Amery & Ross, P.C.

SEC Issues Report on Investment Advisor Arbitration: Is a Change Coming?

Bressler, Amery & Ross, P.C. on

Originally published in American Bar Association. Current Status of Arbitrating Investor Claims - What an arbitration claim against an investor’s financial professional will look like varies significantly depending on...more

Faegre Drinker Biddle & Reath LLP

New Year’s Priorities: FINRA Releases its 2023 Report on its Examination and Risk Monitoring Program

Faegre Drinker Biddle & Reath LLP on

Yes, (somehow) it is that time of year again. FINRA recently released its 2023 Report on its Examination and Risk Monitoring Program (the “Report”). As is typical (and this blog has well-covered), it contains a mix of old and...more

Bracewell LLP

FINRA Facts and Trends: July 2022

Bracewell LLP on

Two Years Later, Regulation BI Remains a “Tremendous Priority” for FINRA - June 30th marked two years since the implementation of Regulation Best Interest (“Reg BI”) and the client relationship summary or Form CRS. Firm...more

UB Greensfelder LLP

When It Comes To GPB, FINRA Looks At Things Quite Differently Than The SEC And The DOJ

UB Greensfelder LLP on

Among the criticisms I have leveled against FINRA are (1) that it is increasingly acting like a claimant’s arbitration attorney, by taking every possible opportunity to blame member firms for losses incurred by investors when...more

Bressler, Amery & Ross, P.C.

FINRA Dispute Resolution Update: The More Things Change . . .

Bressler, Amery & Ross, P.C. on

As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA). Originally published in American Bar Association’s Securities Litigation section - March 17th,...more

Bressler, Amery & Ross, P.C.

The Tide Rises: Will Biden’s Blue Wave Wash Away Mandatory Arbitration?

Bressler, Amery & Ross, P.C. on

Congressional rumblings about outlawing mandatory arbitration clauses are relatively common, but they have not been successful. Ever since a hard-won battle in the 1980s, the industry has been calling the shots about where...more

UB Greensfelder LLP

Are We Looking At The End Of Mandatory Arbitration? That’d Be OK With Me

UB Greensfelder LLP on

As everyone knows, back in the 1980s, broker-dealers fought hard for the ability to include in a customer agreement a clause mandating that all disputes be dealt with in the arbitration forum, rather than in court. It was...more

Carlton Fields

Court Dismisses Challenge Of FINRA Arbitration Award For Lack Of Jurisdiction

Carlton Fields on

In a case involving a FINRA arbitration between investors and their financial advisor, Judge Anita S. Brody of the United States District Court for the Eastern District of Pennsylvania found that she did not have the...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - November 15, 2013

Katten Muchin Rosenman LLP on

In this issue: - SEC Division of Corporation Finance Issues 11 New C&DIs - Register for Our 2014 Proxy Season Update Webinar - CFTC Issues Cross-Border Transactions Advisory - CFTC Issues Guidance...more

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