News & Analysis as of

Discovery Financial Industry Regulatory Authority (FINRA)

Carlton Fields

Second Circuit Affirms Schwab Victory in FINRA Arbitration

Carlton Fields on

The Second Circuit Court of Appeals recently affirmed a decision confirming an arbitration award in favor of Charles Schwab & Co. over allegations of discovery abuses that purportedly rendered the arbitration proceeding...more

Hanzo

Hanzo Top 20 Ediscovery & Compliance Blogs of 2022, Part 1

Hanzo on

It’s been another interesting year in the world of legal technology, and we here at Hanzo have covered a variety of topics in 2022. For the next two weeks in December, we’ll highlight our top 20 ediscovery and compliance...more

Carlton Fields

Schwab Wins Battle Over Confirmation of FINRA Arbitration Award Predicated on Alleged Discovery Abuses

Carlton Fields on

Charles Schwab & Co. successfully petitioned the Southern District of New York for confirmation of a FINRA arbitration award against one of its account holders, fending off challenges predicated on Schwab’s alleged discovery...more

Bass, Berry & Sims PLC

Chris Lazarini Provides Insight on Appointment of Receiver

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini provided additional insight case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon his...more

Perkins Coie

Blockchain Week in Review - August 2019 #4

Perkins Coie on

U.S. Developments - Enforcement and Litigation Developments - Craig Wright Faces Sanctions - Craig Wright, the self-proclaimed inventor of Bitcoin, has been tied up in litigation since February 2018 related to his...more

UB Greensfelder LLP

Two (More) Scary Tales Of FINRA’s Abuse Of Rule 8210

UB Greensfelder LLP on

Once again – twice again, actually – FINRA has used Rule 8210 as a cudgel, beating the poor unfortunate recipients of the “request” for documents and information into submission, or worse. This has got to stop. The first...more

UB Greensfelder LLP

Contrary To What FINRA Believes, Rule 8210 Is Not A Search Warrant

UB Greensfelder LLP on

I have been waiting for a while to write about this issue, since it arose in an Enforcement case I handled for a client, and I wanted the matter to run its full course at FINRA before I started throwing stones. Sadly, there...more

Burr & Forman

FINRA Panel Precludes Evidence & Awards Punitives as Discovery Sanction

Burr & Forman on

An all-public panel of FINRA arbitrators entered a preclusion order and awarded $750,000 in punitive damages for Respondents’ failure to participate in discovery and disregard of pre-hearing filing requirements....more

Morrison & Foerster LLP

Broker-Dealer Email Systems Must Keep Pace with Firm Growth, FINRA Says

A recent FINRA disciplinary action sends a strong message to broker-dealers that the development of their compliance systems — particularly with respect to email review and retention — must keep pace with the growth of their...more

Burr & Forman

Burr Alert: FINRA Amends Subpoena And Arbitrator Order Rules

Burr & Forman on

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

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