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Financial Industry Regulatory Authority News

N.J. court: Trustee for Ponzi scheme company right to initiate arbitration

By Carrie Salls | Jan 11, 2019

TRENTON, N.J. (Legal Newsline) – The receiver for Osiris Fund LP’s decision to file for arbitration to resolve claims filed against Osiris securities trading platform Interactive Brokers LLC and Interactive Brokers employee Kevin Michael Fisher was upheld on appeal by the Superior Court of New Jersey, Appellate Division in a Dec. 31 opinion.

Can FINRA exploit loophole the Supreme Court closed for SEC?

By Dan Fisher | Jul 14, 2017

Targets of disgorgement actions by FINRA may face an expensive battle holding it to a five-year statute of limitations.

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