Originally published in American Bar Association.
Current Status of Arbitrating Investor Claims - What an arbitration claim against an investor’s financial professional will look like varies significantly depending on...more
Originally published in American Bar Association.
FINRA Dispute Resolution Services continues to update its rules and procedures to further its effort to operate the country’s largest securities dispute resolution forum in...more
In efforts to keep financial and legal professionals apprised of the constantly evolving information in the world of senior and vulnerable investors, we are excited to share the news that The North American Securities...more
On June 9, 2021, FINRA announced a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults). The amendments would make two changes to the rule that was implemented just over three years ago. ...more
Noting it was a matter of first impression, on April 21, 2021, the Eleventh Circuit held consumers may assert a claim under Section 1692c(b) of the Fair Debt Collection Practices Act (the “FDCPA”) for a debt collector’s...more