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Pepperdine University School of Law
In 2010, the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation awarded Pepperdine University School of Law’s Straus Institute for Dispute Resolution a grant to establish a comprehensive clinical education program in investor advocacy. The Clinic represents all of its clients on a pro-bono basis. The Investor Advocacy Clinic is the only FINRA funded Clinic […]
Bloomberg
Parties involved in FINRA arbitration with claims of $50,000 or less may soon get the option of an expedited, time-limited hearing via phone, according to a status report released Feb. 8. The proposed Special Proceeding for Simplified Arbitration was based on a recommendation by the FINRA Dispute Resolution Task Force to develop an intermediate form […]
Bloomberg
Salespeople of all stripes know the drill. Go to the morning pump-up sessions. Hit the revenue targets. Move product or move along. The playbook for selling everything from phones to time shares also crops up in a rarefied environment — the Manhattan offices of JPMorgan Chase & Co.’s elite wealth-management unit. There, private bankers working with […]
New York Times
In August 2015, the S.E.C. struck a settlement with Citigroup over an exotic investment strategy involving municipal bonds that the bank sold to clients from 2002 to 2008. When securities laws are broken and investors get hurt, the Securities and Exchange Commission often rides to the rescue, using its regulatory muscle to extract penalties that can be […]
Bank Investment Consultant
Two law firms are pursuing FINRA arbitration claims on behalf of former Wells Fargo advisers who say they were cheated out of their “growth award” bonuses. The firms claim the bank engaged in patterns of conduct to deprive advisers of the bonus program it created to reward them for meeting revenue growth targets. Some advisers […]