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As attorneys who represent customers of brokerage firms, we often receive calls from potential clients who appear to have a substantive case of merit. And then we ask them when the investment was made and that often raises the question: Do statutes of limitation apply...
If James Carville, a campaign strategist of Bill Clinton's 1992 presidential campaign, was on the FINRA Dispute Resolution Task Force,[1] it would surprise no one that at the top of his list for improvements would be this: It's the Arbitrators, Stupid![2] With the...
Make Direct Communication Mandatory! That issue should be on the front burner of the FINRA DR Task Force. Under the Direct Communication Rule [see Customer Arbitration Rule 12211], the parties and the Panel have the ability to communicate directly and not through the...
