FINRA’s Board of Governors met on May 6-7 to consider an array of financial, regulatory and enforcement reports and issues. Prior to this regular meeting of the Board,
FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.
BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.
PEEK-BEHIND AWARD: FINN v. CREDIT SUISSE SECURITIES (USA) — COMPENSATION DEFERRED OR DENIED?
We hear there are dozens of these cases against CSS for unpaid deferred compensation.