Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...

The Financial Industries Regulatory Authority (FINRA) has created a parallel universe for handling disputes outside of the regular court system. It’s a bit like a sci-fi heroine finding herself in an ...

The Financial Industry Regulatory Authority (FINRA) continues its heightened regulation of crowdfunding platforms, trading volume overstatements, and digital signature forgery. Several policy ...

On February 6, 2024, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 24-03, which announced certain amendments to the Codes of Arbitration Procedure (the Codes). Among ...

(Reuters) - The Financial Industry Regulatory Authority's board approved a proposal that could simplify the process for investors choosing arbitrators who hear disputes against securities brokerages, ...

The Securities Industry and Financial Markets Association has outlined a series of recommendations it says would improve the fairness and efficiency of the Financial Industry Regulatory Authority’s ...

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NEW YORK, Nov. 5, 2025 /PRNewswire/ -- Iorio Law PLLC, a securities arbitration law firm representing investors nationwide, announced that it has filed a nearly $2 million FINRA arbitration claim ...

Sen. Elizabeth Warren and Rep. Katie Porter have accused Finra of failing to answer "key questions" about a court ruling that determined the regulator worked with Wells Fargo to manipulate the ...

Securities America is appealing a Finra arbitration panel ruling that requires the broker-dealer to pay $95,800 in damages to a broker the company fired two years ago. The company is arguing that the ...

NEW YORK, Aug. 19, 2025 /PRNewswire/ -- Iorio Law PLLC has filed a large six-figure FINRA arbitration claim on behalf of a retail investor from Raleigh, North Carolina, against Arete Wealth Management ...