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...
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...
