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
- Supreme Court declines to stop FINRA’s effort to expel Alpine Securities
- SEC releases frequently asked questions and responses about Marketing Rule
- Study finds FINRA disciplinary actions rose while fines decreased in 2024
- FINRA fines, suspends former Merrill Lynch broker for unauthorized trading
- SEC charges investment adviser, 2 officers with breaching fiduciary duties
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