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September 2, 2018
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Blog
Two Arbitration Processes – JAMS & FINRA There are two possible arbitration processes used to litigate disputes, FINRA or JAMS, based on who an advisory firm is registered with. If you have any type of investment account, and signed an arbitration clause, it is a requirement for you to litigate all
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December 6, 2011
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Blog, Securities Fraud
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. FINRA’s proposed Rule 5123, according to SEC documents, “would require that
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October 17, 2011
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Blog, Securities Fraud
According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its rules that would require its members and associated persons that offer or sell private placements, as well as those that participate in the preparation of private placement
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March 2, 2010
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Blog, Securities Fraud
2010. Standards of Commercial Honor and Principles of Trade A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade. 2020. Use of Manipulative, Deceptive or Other Fraudulent Devices No member shall effect any transaction in, or induce the
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August 27, 2009
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Blog, Securities Fraud
Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than an associated person (broker or financial advisor) failed to pay money owed on a promissory note. Under the new procedures, a single public arbitrator from the FINRA roster of
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