I recently blogged about the meaning of the “E” in email. For a further discussion of the dangers associated with email, you can listen to this podcast. The
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Arbitration
So You Think That You Really Know Your Customer
By Joshua Horn on
If the recent National Senior Investor Initiative of the SEC and FINRA taught us anything, it was the tremendous importance to know your customers. This takes on more significance when…
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Why Reverse Churning Does Not Create Cream From Butter
By Joshua Horn on
For years, firms have been using wrap products to charge an annual fee based upon the value of assets under management regardless of the number of trades, as opposed to…
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How to avoid being sued 2.0
By Joshua Horn on
Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued. I prepared a…
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What Is Happening To FINRA Arbitration
By Joshua Horn on
The SEC recently approved a FINRA proposal that will further restrict who can serve as “public” arbitrators. Under this new formulation, individuals who have worked in the securities industry and…
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My Client Is Ignoring Me, Now What
By Joshua Horn on
Anyone who is in a service industry frequently faces this question. It is what you do in response that makes the difference between being a target for a lawsuit and…
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Who Has Had A Problem With One Of Your Arbitrators
By Joshua Horn on
Anyone who has handled FINRA arbitrations, from the compliance officer to in-house counsel, you have probably had to deal with a problem arbitrator. How many of you have had arbitrators …
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Tightening the Definition of ‘Public Arbitrator’
By Fox Rothschild on
FINRA proposed amendments to the organization’s arbitration code would tighten the definition of “public” arbitrator for FINRA arbitration purposes.
In a release, FINRA said the proposed rule changes would provide…
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FINRA Bans Settled CRD Expungements
By Fox Rothschild on
FINRA proposed a rule to bar brokers and their firms from requiring customers to consent to the removal of a dispute from the Central Registration Depository as a condition of…
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Should You Feel Better That FINRA Vetted Its Arbitrators
By Joshua Horn on
As a result of a couple high profile awards that were overturned because of issues with the arbitrators, FINRA has vetted its pool of arbitrators and has instituted new procedures…
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