- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
By Joe Mont2016-02-29T14:30:00
Nearly one out of three investor awards in arbitration cases overseen by the Financial Industry Regulatory Authority go unpaid claims a new report by the Public Investors Arbitration Bar Association. The group—a not-for-profit association of lawyers representing claimants in securities and commodities arbitration proceedings and litigation—claims that “nearly $1 of ...
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2016-09-13T12:30:00Z By Joe Mont
The CFPB has received some 13,000 comments in a fierce debate over its proposed rule to limit the use of binding arbitration for resolving disputes associated with financial products. Joe Mont explores.
2016-05-10T15:45:00Z By Joe Mont
The Consumer Financial Protection Bureau is moving ahead with a proposed rule that will prohibit mandatory arbitration clauses. While proponents agree with the Bureau’s assertion that class-action lawsuits provide a more effective means for consumers challenging problematic practices, pro-business groups see the rule as a deathblow for financial services arbitration ...
2016-04-19T14:15:00Z By Joe Mont
Changes may be afoot at the Financial Industry Regulatory Authority as Congress and others ponder whether its duties should expand, compress, or just be folded into the Securities and Exchange Commission. Amid the debates one thing is clear: FINRA is doubling down on its enforcement efforts.
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