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Financial Industry Regulatory Authority (FINRA) Wells Fargo

Burr & Forman

FINRA Report Denies Arbitrator Selection Manipulation

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On June 29, 2022, FINRA released the report of its independent investigation, concluding that allegations of a “secret agreement” to avoid certain arbitrators on an industry lawyer’s cases were untrue. The allegations...more

Carlton Fields

Second Circuit Rejects Manifest Disregard Of Law As A Basis For Vacating An Arbitration Award

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A panel of the Second Circuit has, in an unpublished summary order, emphasized the high bar that must be cleared by a party seeking to vacate an arbitration award. The matter arose from the decision of a financial advisor...more

The Volkov Law Group

Regulators Slap Banks, MSBs and Card Club with AML Violation Penalties

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Financial institutions face enormous pressures with respect to anti-money laundering compliance. These burdens are about to grow with implementation of customer due diligence rules. In 2017, federal and state regulators...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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If Netflix is to be believed (and, you know, it is a public company), there’s a LOT more Stranger Things and House of Cards on the way... Turns out Nelson Peltz’s failed quest for a P&G board seat was crazy close. As in,...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Application of Inter-American Convention on International Commercial Arbitration

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Bass, Berry & Sims attorney Chris Lazarini discussed a case involving an international family dispute over the holdings in a brokerage account. In this instance, the primary owner of the account – a mother living in Columbia...more

Robins Kaplan LLP

Your Daily Dose of Financial News

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Soooooo . . . about that whole Brexit thing. A UK High Court has ruled that Britain’s EU withdrawal cannot move forward without the approval of Parliament, setting off more uncertainty and what’s expected to be a series of...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 9.20.16

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The hits just keep on coming for Wells Fargo, who now is facing questions about its failure to prime the market for news of its $185 million SEC settlement earlier this month. The main concern with that tack is that Wells...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 9.19.16

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Gretchen Morgenson and Fair Game have had a few days to reflect on the Bayer/Monsanto deal, and with that little bit of hindsight (and a lot of history), she’s not too sure that Bayer’s stockholders are going to be thrilled...more

Goodwin

Financial Services Weekly News - July 2016

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Regulatory Developments - NY DFS Adopts Final Anti-Terrorism Program Regulation - On June 30, New York’s Department of Financial Services (DFS) adopted a risk-based anti-terrorism and anti-money laundering...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2015 #2

Alleged Fictitious Sales to Facilitate Improper Money Pass Prompts CFTC Injunctive Action and Asset Freeze: The Commodity Futures Trading Commission filed a lawsuit in a federal court in Illinois against Yumin Li and Kering...more

Katten Muchin Rosenman LLP

Bridging the Week - December 2014 #4

ESMA Publishes Implementing Rules for MiFID II - The European Securities and Markets Authority issued its final technical advice and initiated a consultation regarding proposed regulatory and technical standards...more

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