Amendments to the FINRA Code of Arbitration Procedure for Customer and Industry Disputes aimed at protecting personal information became effective on July 28, 2014. The amended Rules 12300 (Customer Code provision) and 13300 (Industry Code provision) require parties...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: September 2014
Recent Posts
- FINRA enforcement chief outlines plans for protecting investors and markets
- SEC fines and censures 5 investment advisers over marketing rule violations
- OMB review completed on Department of Labor’s proposed fiduciary rule
- FINRA penalizes Florida broker-dealer and CEO over texting violations
- SEC charges Senvest Management with widespread recordkeeping violations
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