Public-interest lawyers are loudly objecting to new guidelines intended to raise the professional caliber of arbitrators hired to mediate disputes between brokers and investors. Finra, the brokerage ...
The Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It’s a bit like a sci-fi heroine finding herself in an ...
Hosted on MSN
Brokerage regulator FINRA is considering changing its arbitration rules. It wants public feedback.
Finra, the brokerage industry’s self-regulator, is taking another look at its arbitration process, a dispute-resolution system that has come under fire from investor advocates and industry groups ...
Finra arbitrators will earn $600 per day, up from $400, if the Securities and Exchange Commission approves a recommendation by the self-regulator to raise their pay. The board of the Financial ...
Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...
A group of attorneys representing investors is leveling criticism at the Financial Industry Regulatory Authority’s arbitration system, accusing the self-regulatory agency of allowing its member ...
Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...
The Securities Industry and Financial Markets Association (SIFMA) is urging the Financial Industry Regulatory Authority to change termination reporting and create tougher arbitration standards to ...
As part of a round of sweeping rule changes approved by the Financial Industry Regulatory Authority Inc.'s Board of Governors Thursday, the regulator authorized a new rule that could reduce the number ...
Following the controversial ruling by the Georgia State Court on the Wells Fargo arbitration award in 2022, the Financial Industry Regulatory Authority (FINRA) is now pushing for a more transparent ...
In a Financial Industry Regulatory Authority Arbitration Statement of Claim filed in February 2010, Aaron Berkowitz alleged fraud, breach of contract, and negligence in connection with alleged ...
A $642.50 deli platter ended up costing JPMorgan Chase $4.25 million. A Wall Street arbitration panel ordered the banking ...
Some results have been hidden because they may be inaccessible to you
Show inaccessible results