Mr. Iorio has already recovered more than $3.8 million for GWG L Bond investors through FINRA arbitration and continues to represent clients nationwide in claims against dozens of brokerage firms that ...

The Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It's a bit like a sci-fi heroine finding herself in an ...

The Securities Industry and Financial Markets Association (SIFMA) is urging the Financial Industry Regulatory Authority to change termination reporting and create tougher arbitration standards to ...

Many advisers who have been involved in arbitration cases are welcoming a move to give investors the option of having all-public arbitration panels. But plaintiff's attorneys fear that the pilot ...

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. The Financial Industry Regulatory ...

Law firm investigating investor losses and sales practice violations in Easterly ROCMuni High Income Fund (RMHIX, RMJAX, RMHVX) following steep ...

Effective since February 23, 2009, the new FINRA rules limiting motions to dismiss were primarily implemented in response to complaints by claimants that the filing of motions to dismiss resulted in ...

The Financial Industry Regulatory Authority Inc. will expand a pilot program that allows investors to choose arbitration panels without industry participants. Currently, most Finra arbitration panels ...

On February 6, 2024, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 24-03, which announced certain amendments to the Codes of Arbitration Procedure (the Codes). Among ...

Some brokerage firms are successfully avoiding Finra arbitration for employment disputes—despite Finra rules to the contrary. In several recent cases, firms have persuaded courts to uphold contractual ...

Federal regulators gave their blessing Thursday to a proposal to overhaul FINRA's procedures for striking arbitrators from the three-member panels that oversee many broker disciplinary and dispute ...