Search for: "Howes v. FINRA"
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13 Apr 2012, 7:11 am
This post from John Fullerton III discusses how to choose a FINRA arbitration panel, and is the first in a series on practices and procedures in employment-related arbitrations before FINRA. [read post]
22 Feb 2016, 4:33 pm
Over on LXBN I’ve got a piece up about how though mining big data has remained a legal option for employers to explore, it’s not a very popular one. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
15 Oct 2018, 1:56 pm
Wilson v. [read post]
21 Oct 2011, 2:39 pm
In Dauod v. [read post]
24 Jun 2011, 2:00 am
1) The Conglomerate: Should Securities Law Folks Care About Wal-Mart v. [read post]
20 Apr 2015, 3:25 am
Koh in Nationwide Biweekly Admin., Inc. v. [read post]
21 Jul 2017, 2:07 pm
Professor Volokh is concerned about an unusual development in Brummer v. [read post]
31 Jul 2018, 10:24 am
Regulation Best Interest v. [read post]
5 Nov 2015, 10:00 am
The first tool that you should be using to vet your financial advisor is something called FINRA broker check. [read post]
6 Jan 2012, 2:00 am
This post discusses this provision and the SEC’s recent appointment of Pamela Gibbs to head its recently created Office of Minority and Women Inclusion. 2) The Securities Law Blog: FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures – This post details how FINRA fined Credit Suisse Securities (USA) LLC $1.75 million for violating Regulation SHO and failing to properly supervise short… [read post]
5 Dec 2023, 9:05 pm
., LLC v. [read post]
12 Sep 2013, 8:09 am
The safety of a variable annuity depends entirely on how the subaccounts are invested. [read post]
19 Mar 2018, 8:55 am
One creates a circuit split over how specific parties must be to delegate the availability of class arbitration to arbitrators, and the second addresses when bankruptcy law can preempt the federal arbitration act.In Wells Fargo Advisors, LLC v. [read post]
30 Dec 2019, 12:45 pm
Workers in these categories are subject to the “Economic Realities” test set forth in Borello & Sons, Inc. v. [read post]
17 Jun 2011, 3:43 am
In a 5-4 decision in Janus Capital Group v. [read post]
26 Aug 2010, 5:25 am
- How are smaller companies treated? [read post]
12 Apr 2019, 12:15 pm
Investors will still have the option to choose to use arbitration under FINRA rules, just as how it was before the historic Shearson/American Express v. [read post]
22 Aug 2014, 5:00 am
” How Do I Respond to a Wells Notice? [read post]
14 Apr 2011, 11:22 am
Hofhines et al, and McCoy et al v. [read post]
