David Sobel wrote a Legal Tip for Jacko Law Group titled What To Do If You Receive a FINRA 8210 Letter in October, 2017.… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled FINRA Expungement Part II in June, 2017… Read More
David Sobel wrote a Legal Tip for Jacko Law Group titled What You Need To Know About Expungement in April, 2017.… Read More
Michelle L. Jacko wrote a Legal Tip for Jacko Law Group titled What The New Finra Supervisory Rules Mean For Your Brokerage Practices in September, 2014.… Read More
The Financial Industry Regulatory Authority (“FINRA”) has formed a 13-member Arbitration Task Force in an effort to “improve the transparency, impartiality and efficiency” of the arbitration process. Arbitration is a formal dispute resolution process for disputes and complaints arising out…
The importance of adequate and effective Anti-Money Laundering (“AML”) programs should never be underestimated in the current US regulatory environment, as the Financial Industry Regulatory Agency’s (“FINRA’s”) January 28, 2014 announcement of penalties against the firm Banorte-Ixe clearly illustrates. The…
This month, the Financial Industry Regulatory Authority (“FINRA”) released a regulatory notice reminding member firms of their responsibilities concerning individual retirement account (“IRA”) rollovers and potential conflicts of interest. A conflict exists when brokerage firms have an economic incentive to…
Recently, the Florida Supreme Court issued a decision ruling that the state’s statute of limitations (“SOLs”), or laws that limit the time within which a party can bring a lawsuit against another party, applies not only to court proceedings, but…
The Financial Industry Regulatory Authority (FINRA) is considering new rules that would require additional reporting requirements for dark pool trades made by broker-dealers. This announcement was made recently by Richard G. Ketchum, chief executive officer of FINRA, largely in response…
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,…