Tag: FINRA arbitration lawyer
Former LPL Broker James Scott McKee Charged With Theft
According to various reports, James Scott McKee, a broker formally affiliated with Morgan Stanley Smith Barney, LLC, Berthel Fisher &...
New FINRA Replacement Arbitrator Rule
Often times in FINRA arbitrations, one or more of the three arbitrators selected by the parties to resolve the dispute has to withdraw from...
FINRA Arbitration Award Statistics
FINRA recently updated detailed statistics on its arbitration, mediation, and dispute resolution process. This information is publicly...
SEC Changes to “Accredited Investor” Rules
The Securities and Exchange Commission recently announced that it has amended its rules to exclude the value of a person’s home from net...
