New York Law Journal...by allegations of misconduct associated with the sale of auction rate securities, FINRA has proposed debt research requirements for member broker-dealers. ...
...related requirements for swaps market intermediaries, and the Financial Industry Regulatory Authority (FINRA) has proposed new requirements for debt research. These initiatives extend...
...responsibility after his family suffered losses because the investments performed poorly. Under FINRA Rule 12200 Abbar claimed a right to arbitrate his dispute against Citigroup...
...Code of Arbitration Procedure of the Financial Industry Regulatory Authority (known as FINRA) requires FINRA members (including CGMI) to arbitrate disputes at the request of...
...would likely lead to a conflict between the FAA and long-standing FINRA rules prohibiting member firms from compelling class litigants to arbitrate their disputes...
...restraining order (TRO) partially enjoining arbitration before the Financial Industry Regulatory Authority (FINRA) also scheduled an April 19 evidentiary hearing to clarify his business dealings...
...partially enjoining an arbitration proceeding before the Financial Industry Regulatory Authority ("FINRA"). Dkt. Nos. 6, 11 ("April 5 Order"). In its...
Morris N. Simkin, a partner at McLaughlin & Stern, Sandra Holtzman, president of Holtzman Communications, and David Schmidt, a principal at Advanced Materials Advisory, present a perfect example of t
Jill Backer, associate director for employer relations at Brooklyn Law School, writes: When I started in employer outreach in 2002, compliance was just beginning to blossom. These days, when someone
...decades.2 Last year alone, the Financial Industry Regulatory Authority (FINRA) referred 347 insider trading cases to various enforcement agencies—a record...
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