Academic

FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
In an apparent effort to make sure that everyone really, really, really understands that FINRA does not trust its own arbitrators, FINRA's Board of Governors approved a rule proposal that would impose expungement procedures requiring arbitrators to take specific steps, including issuing a written explanation, before recommending expungement of information related to arbitration cases from a registered person's Central Registration Depository (CRD) record...

SEC Approves FINRA Ban on Motions to Dismiss
Brokers and brokerage firms have lost additional rights today, as FINRA announced that the SEC has approved FINRA's rule change which will virtually ban all motions to dismiss in FINRA arbitrations...

Is Retail Securities Arbitration Dying
Most people that engaged a financial advisor employed by a FINRA (formerly NASD) broker-dealer and all registered representatives signed something containing a mandatory arbitration clause...

FINRA Investor Arbitration Statistics Reveal 49% Increase In Claims Filed
FINRA, the Financial Industry Regulatory Authority, has revealed its Dispute Resolution Statistics through October 2008. As expected, the statistics show a surge in arbitration claims filed through October compared to October 2007...

To Arbitrate or Not Arbitrate Securities Fraud, That is the Question
FINRA Securities Arbitration or Class Action Lawsuits? A common question asked by investment fraud victims is whether they should partake in a class action lawsuit of a securities arbitration claim...

FINRA Rules
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA)...

Copyright Lawsuits: Critical Issues Before Filing Copyright
Federa Rule 11(b) Considerations

Unwed Fathers' Rights in Adoption
Landmark Cases in Adoption Law Shape Law with respect to Unwed Fathers

Health Insurers
Dictating Medical Decisions