FINRA Arbitration In 2026 And Beyond: Key Trends, Notable Awards, And The Road Ahead
The FINRA arbitration forum remains the primary venue for resolving disputes between investors and the broker-dealers and investment advisers who…
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The New 2026 ICC Arbitration Rules: What Businesses and Their Lawyers Need to Know
The International Chamber of Commerce (ICC) remains the world's leading institution for the administration of international commercial arbitrations. On June…
Read MoreCould Thousands of Investment Advisers Be Forced Back to State Registration?
The Securities and Exchange Commission's recent review of the investment adviser registration threshold could have significant consequences for thousands of…
Read MoreWhen FINRA Comes Calling: Who Pays for the Lawyer?
Regulatory inquiries from FINRA, the SEC, the DFPI, or the California Department of Insurance often raise an uncomfortable question for…
Read MoreInvestment Fraud and Social Media: When “Finfluencers” Cross the Line
Social media has become a major source of investment information. Investors now encounter stock tips, options strategies, crypto promotions, private…
Read MoreArtificial Intelligence and the Practice of Law: California SB 574 and New Protections for Clients
Artificial intelligence (“AI”) has rapidly become part of everyday life. Millions of people now use AI systems such as ChatGPT,…
Read MoreReceived a FINRA Rule 8210 Letter? What Financial Advisors Need to Know
A Rule 8210 letter from the Financial Industry Regulatory Authority, or FINRA, is not ordinary correspondence. For financial advisors, registered…
Read MoreWarning: Your AI Chat Is Not Privileged and It Probably Doesn’t Help That Much
Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly…
Read MoreWhen AI Picks the Trades: Liability Risks for Broker-Dealers, RIAs, and Registered Representatives
Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly…
Read MoreFive Litigation Traps Financial Institutions Should Avoid in Customer Arbitrations
Customer arbitration is one of the most common forums for resolving disputes between financial institutions and their clients. For broker-dealers…
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