We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...

A $100 million rebate from the Financial Industry Regulatory Authority to member firms is drawing sharp backlash from investor advocates, who say the move comes as tens of millions in arbitration ...

J.P. Morgan Securities and one of its advisors are fighting to keep a trust dispute out of FINRA — with potential takeaways ...

Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...

Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...

Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with Wells Fargo to manipulate the ...

The Financial Industry Regulatory Authority Inc. and The Charles Schwab Corp. are engaged in a legal fight over whether a brokerage firm can avoid customer class-action claims by forcing all disputes ...