NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.
The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;
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.
By George H. Friedman*
SAC Contributing Legal Editor and Board of Editors Member
With the new year here, it’s time for my annual predictions.