Posts from February 2013.

This week William Galvin, Massachusetts Secretary of the Commonwealth, sent a letter to the Securities and Exchange Commission (“SEC”) urging them to disallow the use of arbitration agreements by registered investment advisers.  Such agreements are common in contracts between investment...

Recently, the Financial Industry Regulatory Authority (“FINRA”) launched a new pilot program offering parties in small claims cases free or low-cost telephone mediation.  This program is voluntary and open to all cases involving claims of $50,000 or less. According to FINRA,...

On January 25, 2013 the Securities and Exchange Commission ("SEC") charged a financial adviser in Florida with illegally "tipping" his friend about inside information he acquired regarding the upcoming sale of a pharmaceutical company in exchange for $35,000 and a...

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