The Financial Industry Regulatory Authority (“FINRA”) recently filed a proposed rule change with the Securities and Exchange Commission (“SEC”) to amend Rules 12214 and 12601 of the Code of Arbitration for Customer Disputes...more
After seeking comments last fall, the Securities and Exchange Commission (“SEC”) recently approved the Financial Industry Regulatory Authority’s (“FINRA”) proposed rule governing member firms’ verification and investigation...more
The Financial Industry Regulatory Authority (“FINRA”) recently issued an Investor Alert (the “Alert”) to warn investors about the most prevalent types of investment fraud and provide guidance on how to avoid being defrauded....more
3/11/2015
/ Financial Industry Regulatory Authority (FINRA) ,
Investment Fraud ,
Investors ,
New Guidance ,
Ponzi Scheme ,
Pump and Dump ,
Pyramid Schemes ,
Risk Alert ,
Scams ,
Securities ,
Securities Fraud
Through its recent Regulatory Notice 14- 35, the Financial Industry Regulatory Authority (“FINRA”) announced and sought comments on its proposed new Rule, FINRA Rule 2231, governing the frequency and availability of customer...more
The Financial Industry Regulatory Authority (“FINRA”) recently filed a proposal with the Securities and Exchange Commission (“SEC”) to amend FINRA’s rule governing member firms’ background investigations into associated...more
9/26/2014
In 1987, current Florida governor Rick Scott used his life savings to start Columbia Hospital with the idealistic goal of cutting healthcare costs and improving patient care. A few years later, Columbia merged with the...more
Through its recent Regulatory Notice 13-07, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed amendments to rules governing markups, markdowns, commissions and fees associated...more
In its recent Regulatory Notice 13-04, the Financial Industry Regulatory Authority ("FINRA") announced amendments to its Customer and Industry Codes of Arbitration Procedure related to subpoenas and arbitrator orders for the...more
The Federal Arbitration Act (FAA) was enacted to ensure the enforceability and validity of arbitration agreements. Through the enactment of this sweeping legislation, Congress signaled its approval of arbitration as a form of...more