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Searching Content indexed under Litigation, Mediation & Arbitration by Joshua Horn ordered by Published Date Descending.
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1
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
2
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
3
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
4
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
5
Who Wants To Chair A FINRA Arbitration
Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair.
United States
30 Aug 2016
6
Supreme Court Limits Defendants' Use Of Offers Of Judgment To Moot Class Actions
Rule 68 provides that "at least 14 days before the date set for trial, a party defending against the claim may serve on an opposing party an offer to allow judgment on specified terms, with the costs then accrued."
United States
22 Jan 2016
7
Who Wants To Avoid Being Sued In This Market
Now that I have your attention, there is a pretty tried and true method to avoiding customer complaints, especially in this volatile market.
United States
26 Aug 2015
8
The SEC May Be Getting A Longer Stick
The discovery rule extends the statute of limitations because it provides that the statute does not begin to run until the party bringing the claim discovers the wrongdoing.
United States
13 Aug 2015
9
Do You Really Need A Reason Why Not To Provide Your Client With A Personal Email Address
Not too long ago, I tried a case that had, among other issues, the improper use of the advisor's personal email account.
United States
9 Jul 2015
10
The Film Don't Lie When You Are Defending Yourself
When you are faced with a customer complaint, the single most important thing in my expense is the content of the file. If it is not there, it will not exist in the mind of the factfinder. If it is there, the so-called "film" generally does not lie.
United States
17 Jun 2015
11
A Guide To Every Day Risk Avoidance Techniques And How To Address A Customer Complaint
Throughout the many years that I have defended financial advisors and their employers, we have often heard our clients ask, "I worked so hard and went out of my way for this client, so why I am being sued?" The answer to that question in most instances has nothing to do with the work ethic of the advisor.
United States
2 Apr 2015
12
How To Avoid Being Sued 2.0
Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued.
United States
26 Mar 2015
13
What Is Happening To FINRA Arbitration
The SEC recently approved a FINRA proposal that will further restrict who can serve as "public" arbitrators.
United States
11 Mar 2015
14
EDPA Strikes Class Claims Filed Under Telephone Consumer Protection Act And Fair Debt Collection Practices Act
In Sandra Zarichny v. Complete Payment Recovery Services, Inc. et al. (Case 2:14-cv-03197-SD), Judge Stewart Dalzell agreed with defendants and dismissed the bulk of plaintiff’s allegations ..
United States
23 Jan 2015
15
Who Has Had A Problem With One Of Your Arbitrators
Anyone who has handled FINRA arbitrations, from the compliance officer to in-house counsel, you have probably had to deal with a problem arbitrator.
United States
19 Nov 2014
16
Should You Feel Better That FINRA Vetted Its Arbitrators
Because of issues with the arbitrators, FINRA has vetted its pool of arbitrators and has instituted new procedures to review arbitrators.
United States
6 Aug 2014
17
Expunge Me, No Expunge You
FINRA put into place the prohibition of making a settlement contingent upon a registered representative having the subject arbitration expunged from the representative's U-4.
United States
4 Aug 2014
18
Is This The End of Arbitration As We Know It
FINRA arbitrations may never be the same because FINRA recently proposed to redefine "public arbitrator" to exclude anyone from the financial industry.
United States
25 Jun 2014
19
Is There Any Reason To Arbitrate Customer Complaints
On September 18, the SEC approved a FINRA proposal that essentially does away with the ability to have an industry arbitrator serve on your panel. So the question becomes, why bother arbitrating customer complaints.
United States
23 Sep 2013
20
How Many Of You Have Had Arbitrators Who Were Unsuitable To Serve?
Unfortunately for me, the answer to that question is all too often in the affirmative. After having physicians with no securities background and unconscious (literally) individuals serve as arbitrators, I have scratched my head and pondered why FINRA uses these people as arbitrators.
United States
14 Aug 2013
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