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Tag: Dispute-Settled

08 '16

FINRA Warns Firms Not to Avoid FINRA Dispute Resolution Arbitration

In July 2016, FINRA issued Notice to Members 16-25, warning its members against preventing their customers and employees from attempting to resolve their disputes through FINRA Dispute Resolution arbitration. It...
07 '16

Stockbroker and Investment Advisor “Misconduct” Study

On March 1, 2016, the financial press widely reported the release of a white paper by Professors Mark Egan, Gregor Matvos, and Amit Seru entitled “The Market for Financial Advisor...