By George H. Friedman, SAA Publisher & Editor-in-Chief
The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) and the Federal Trade Commission (“FTC” or “Commission”) have filed an Amicus Brief in federal court,
By George H. Friedman, SAA Publisher & Editor-in-Chief
Those who thought we were nearing the end of the road for FINRA’s proposed changes to the expungement process need to rethink their assumptions.
By George H. Friedman, SAA Publisher & Editor-in-Chief
We reported in SAA 2022-42 (Nov. 10) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 27 Press Release that Hugh D.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Supreme Court on October 31 denied Certiorari in Caputo v. Wells Fargo, No.
By Courtney Werning, Dave Neuman, Jorge Riera, and Michael Edmiston[1]
Introduction
Industry-sponsored arbitration has long been the only option for investors who have claims against their financial advisors and brokerage firms.