Financial Industry Regulatory Authority
U.S. Government: Agencies/Departments/Divisions | Federal Agencies
Recent News About Financial Industry Regulatory Authority
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N.J. court: Trustee for Ponzi scheme company right to initiate arbitration
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?
Targets of disgorgement actions by FINRA may face an expensive battle holding it to a five-year statute of limitations. -
Neb. Dodd-Frank whistleblower retaliation case settled before trial
LINCOLN, Neb. (Legal Newsline) – A woman who claimed she was fired for reporting violations on the part of her employer has settled her Dodd-Frank Act lawsuit after a judge determined the law's whistleblower provision applied to her.