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Ryan Bakhtiari has been invited to participate as a speaker at the 2014 Practicing Law Institute (PLI) conference program on Thursday, July 31, 2014. The PLI Securities Arbitration program is held at the PLI New York Center and also online by webcast. The program brings together legal professionals with securities industry regulators to discuss hot […]
Ryan Bakhtiari has been invited to participate as a speaker at the 2014 FINRA Annual Conference program on Monday, May 19, 2014 titled “Arbitration, Expungement and Arbitrator Disclosure.” The FINRA Annual Conference is held between May 19, 2014 and May 21, 2014 at the Renaissance Washington, DC Hotel. The conference brings together legal and compliance professionals, with […]
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise compensating customers for, an agreement not to oppose a request to expunge information from an associated person’s Central Registration Depository (CRD) record. […]
On Tuesday, October 15, 2013, FINRA Dispute Resolution published the following guidance and reminder for arbitrators when considering expungement requests. Extraordinary Nature of Expungement Relief — Expungement is an extraordinary remedy that should be granted only under appropriate circumstances. Information should be expunged only when it has no meaningful investor protection or regulatory value. Once […]
The firm continues to investigate the sales practices of Wall Street firms in recommending bond funds to its clients. This investigation is crucial as it highlights the potential risks associated with the financial products being sold to investors, particularly in the volatile market of Puerto Rican municipal bonds. Many investors may not fully understand the […]