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Searching Content indexed under Arbitration & Dispute Resolution by Steven Lofchie ordered by Published Date Descending.
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NASAA Recommends Legislative Agenda For 116th Congress
The North American Securities Administration ("NASAA") offered a legislative agenda for the 116th Congress.
United States
18 Mar 2019
2
SEC Officials Highlight Requests To Improve ESG Disclosures And Arbitration Process
SEC Chair Jay Clayton and SEC Commissioner Kara M. Stein highlighted (i) the increasing number of investor requests for improved environmental, social and governance ("ESG") disclosures,
United States
19 Dec 2018
3
Former Bank Director Settles CFTC Charges For "Mismarking" Swaps
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
United States
14 Nov 2018
4
SEC Investor Advocate Objects To Mandatory Arbitration Of Shareholder Class Actions
SEC Investor Advocate Rick Fleming expressed disapproval of mandatory arbitration provisions that prohibit shareholders from pursuing class actions.
United States
28 Feb 2018
5
U.S. Senate Votes To Block CFPB Arbitration Rule
The U.S. Senate voted on a resolution to overturn the Consumer Financial Protection Bureau's ("CFPB") arbitration rule.
United States
3 Nov 2017
6
Treasury Criticizes CFPB Arbitration Rule
The U.S. Department of the Treasury ("Treasury") released a report ("Report") criticizing the Consumer Financial Protection Bureau's ("CFPB") arbitration rule ("Rule").
United States
1 Nov 2017
7
Senator Warren Asks Bank CEOs To Publicly Take Positions On CFPB Arbitration Rule
Senator Elizabeth Warren (D-MA) sent letters to the CEOs of 16 major financial institutions asking for information related to the Consumer Financial Protection Bureau ("CFPB") arbitration rule.
United States
21 Aug 2017
8
CFTC / CME Settle Misappropriation Case
On December 2, 2015, the U.S. Commodity Futures Trading Commission ("CFTC" or "Commission") and the New York Mercantile Exchange ("NYMEX") simultaneously announced settlements with Arya Motazedi...
United States
15 Dec 2015
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