On February 26, 2015, Rep. Keith Ellison (D-MN) introduced proposed bill H.R. 1098 titled the Investor Choice Act (the “ICA”). The ICA is the latest attempt to statutorily prohibit the enforcement of pre-dispute arbitration provisions and to provide investors with...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: March 2015
Recent Posts
- Revised privacy act regulations approved by SEC
- SEC adopts amendments to prevent misleading or deceptive fund names
- SEC charges YieldStreet and its subsidiary for misleading investors
- SEC using AI as part of surveillance and enforcement, Gensler says
- Judge approves settlement in lawsuit over Wells Fargo unauthorized accounts
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