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  • ABOUT
  • ATTORNEYS
    • Bruce Lewitas
    • Douglas W. Hyman
    • Daniel Hildebrand
  • FINANCIAL PROFESSIONALS
    • FINRA, SEC and State Regulatory Investigations
    • Employment Counsel
    • Wrongful Discharge
    • Expungement Claims
    • Promissory and Forgivable Notes
    • Firm Transitions
    • CFP Board Investigations
    • Partnership Disputes
    • Broker Protocol FAQs
    • Form U5 Claims
  • FINANCIAL INSTITUTIONS
    • Financial Services Arbitration and Litigation
    • Regulatory Counseling and Investigations
    • RIA Formation and Compliance Counsel
    • Securities and Commercial Litigation
  • INVESTORS
    • Investor Notice: GWG L Bonds
    • Frequently Asked Questions About Investment Loss Matters
    • Financial Advisor Misconduct
    • Breach of Fiduciary and Other Duties
    • Retirement Planning Negligence
    • Securities and Investment Fraud
    • Unauthorized Trading
  • BLOG
  • CONTACT

FINRA Proposes Changes to Definitions of Non-Public and Public Arbitrators

On Behalf of Lewitas Hyman PC | Aug 20, 2014 | Financial News, FINRA Compliance, Regulatory Investigations

The proposal expands the “non-public” arbitrator definition by: (1) requiring individuals who worked in the financial services industry for any duration to always be classified as non-public arbitrators; (2) adding new categories of financial industry personnel who...

Second Circuit Clarifies Definition of “Customer” Under FINRA Rules

On Behalf of Lewitas Hyman PC | Aug 10, 2014 | Financial News

Last week, the Second Circuit issued an important opinion clarifying who may be considered a “customer” of a FINRA member firm. In Citigroup Global Markets Inc. v. Abbar et al. (No. 13-2172) (2d Cir. Aug. 1., 2014), the Second Circuit held that a customer, under the...

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  • Former broker barred by FINRA for false statements about outside CBD business

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