Award Survey: 2017 Employee-Member Damage Awards
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We complete our series of summaries focusing on 2017 Awards by turning to Employee-Member cases in which the claimant requested more than nominal compensatory damages.

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Coalition of Consumer Protection Advocates Again Urges SEC’s Clayton: No IPO Arbitration or Class Action Waivers
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A 133-member coalition of national and state consumer and investor rights advocates has written to the SEC urging that it not permit arbitration or class action waivers of IPO disputes.

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A Peek Behind a Selling Away Award: Fry v. Comprehensive Asset Management and Servicing Inc. & Steele
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A PEEK BEHIND A SELLING AWAY AWARD: FRY v. COMPREHENSIVE ASSET MANAGEMENT AND SERVICING INC. & STEELE, FINRA ID #17-01767 (Indianapolis, IN,

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Securities Experts Roundtable Holds Two-Day Conference in Washington, D.C., Featuring Educational Sessions on a Host of Topics
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The conference, which coincided with the Securities Experts Roundtable’s (SER) 26th annual membership meeting, met on Friday and Saturday, July 27 and 28,

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Explained Award: Wilczynski vs. Aegis Capital Corp.
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EXPLAINED AWARD: WILCZYNSKI v. AEGIS CAPITAL CORP., FINRA ID #17-01664 (Washington, DC, 7/17/18).

The Six-Year Eligibility Rule (FINRA Rules 12206 and 13206) is unique to securities arbitration and,

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FINRA Issues Reg Notice Seeking Comments on Discovery Guide Change on Insurance
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FINRA has issued a Regulatory Notice seeking comments on proposed Discovery Guide changes requiring production of insurance information.

We reported in SAA 2018-19 (May 16) that FINRA’s Board of Governors approved at its May 9-10 meeting a proposal to amend the arbitration Discovery Guide.

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