Tag: FINRA arbitration
FINRA Arbitration of Employment Discrimination Claims
Can an employee waive his/her right to access to a court for statutory discrimination claims and be required to arbitrate such a claim? The...
Discovery Requirements in FINRA Arbitrations
Clients often ask, “if I file a securities fraud claim against my broker-dealer, what documents will I have to produce.” Every...
Recent Changes to the FINRA Code of Arbitration
The Securities and Exchange Commission (SEC) has recently approved several amendments to the Financial Industry Regulatory Authority...
Brokers must Disclose Customer Complaints
Regulators Require Brokerage Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...
