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All articles tagged '"Financial Industry Regulatory Authority"'
6 articles found
SCOTUS Denies Cert. in Texas Ponzi Scheme Case
By Beth Graham - October 13, 2017
On Tuesday, the Supreme Court of the United States denied a petition for certiorari that was filed by a group of former Ponzi scheme financial advisers.
Opening the Floodgates of Small Customer Claims in FINRA Arbitration
By Beth Graham - February 10, 2015
Teresa Jacqueline Verges, Lecturer in Law and Director of the Investor Rights Clinic at the University of Miami School of Law has published, “Opening the Floodgates of Small Customer Claims in FINRA Arbitration: FINRA v. Charles Schwab & Co., Inc.,” 15 Cardozo J. Conflict Resol. 623, 2014. In her article, Professor Verges examines the effect that recent U.S. Supreme Court decisions regarding the Federal Arbitration Act have had on the Financial I
FINRA Considering Whether Firms Should be Required to Carry Insurance to Pay Arbitration Awards
By Beth Graham - October 4, 2013
The Financial Industry Regulatory Authority (“FINRA”) is reportedly considering whether to require brokerage firms to purchase and maintain errors and omissions insurance policies that would be used to pay investors following arbitration.
Washington Legislature Says Statute of Limitations Applies to Arbitration Proceedings
By Beth Graham - May 28, 2013
An interesting arbitration-related development has come out of the Washington Legislature. In an apparent response to a 2010 Washington Supreme Court ruling, lawmakers have amended the state’s Uniform Arbitration Act to allow statutes of limitations to apply to arbitral proceedings.
FINRA Board Approves New Rule for Selecting Arbitral Panels
By Beth Graham - April 23, 2013
Last week, the Financial Industry Regulatory Authority (FINRA) Board approved a measure that may make it easier for investors to select arbitrators in a dispute against a securities brokerage. The newly approved measure would authorize the parties to a dispute that exceeds $100,000 to select a panel chairman, a public arbitrator, and an arbitrator with industry ties from a FINRA list immediately.
Forbes: Lehman Brothers Loses Nearly $500,000 Collection Case Against Former Employee
By Victoria VanBuren - November 1, 2012
Forbes has an interesting article regarding the recent FINRA arbitration Lehman Brothers Holdings v Adam David Sloan (FINRA Arbitration 11-01774, October 17, 2012): In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2011, Claimant Lehman Brothers sought to recover by the close of the hearing $357,142.86 in outstanding principal; $79,244.88 accrued interest; and $53,571.43 in collection costs.
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