Post Image
Award Mini-Survey – Selling Away
on

One of the headaches that broker-dealers and their supervisory personnel face concerns the errant broker who sells securities “off the books” without notifying his employer,

...Read More

Post Image
Court Affirms Jury Verdict for FINRA in Retaliation Suit: Wile v. FINRA
on

By Burton W. Wiand

A jury verdict that an employee was not subjected to retaliatory discharge is not against the weight of the evidence,

...Read More

Post Image
The CFPB and Mandatory Consumer Arbitration: Summing Up Where Things Stand
on

Over the past several months, we’ve reported on the Consumer Financial Protection Bureau’s (“CFPB”) review of mandatory predispute arbitration agreements “PDAAs”). In light of recent activity,

...Read More

Post Image
Finder’s a Keeper Under Michigan Blue Sky Law: Pransky v. Falcon Group, Inc.
on

By Christopher G. Lazarini

A consultant or intermediary who brings together parties who may be interested in a securities transaction,

...Read More

Post Image
Like Rodney Dangerfield, Commonwealth Coatings “Don’t Get No Respect” – and it Shouldn’t!
on

By George H. Friedman*

[This is a summary of the lead article in this month’s Securities Arbitration Commentator]

Introduction

As reported in the June 18th issue of the Securities Arbitration Alert,

...Read More

Post Image
FINRA Stats, 5/15
on

With five months of the year done, the dispute resolution forum’s case filings were running 27% below the same-period figures for 2014 and close-outs were down 7%.

...Read More

Read Our Recent Blog