Thought Leadership
Proposed FINRA Rule 3290—A Regulatory Breakthrough or a Halfhearted Attempt at Real Reform?
June 10, 2025
by Ryan P. Friel
Case Law Alerts
Panel Dismisses Claimant’s Claims Without Prejudice in Their Entirety Pursuant to Rule 12504 of the Code for Lack of FINRA Jurisdiction
January 1, 2025
by Ryan P. Friel
Managing Cybersecurity Threats in 2024 Season 2 Episode 2
July 1, 2024
by David J. Shannon and Ryan P. Friel
Case Law Alerts
Complex Claimant Scenario Leads to $1 Million Judgment for Plaintiffs
July 1, 2024
by Ryan P. Friel
Case Law Alerts
Failure to Comply with Discovery Order Results in Dismissal with Prejudice and Monetary Sanctions
July 1, 2024
by Ryan P. Friel
DOL's Retirement Security Rule Imposes New Fiduciary Standards on Financial Services, Insurance Industries
May 10, 2024
by Samuel E. Cohen and Ryan P. Friel
Case Law Alerts
FINRA Encouraged to Take Remedial Action to Correct Broker’s CRD Record
April 1, 2024
by Ryan P. Friel
Case Law Alerts
FINRA Grants Respondents’ Motions for Sanctions Against Claimant and Broker’s Request for Expungement
April 1, 2024
by Ryan P. Friel
Case Law Alerts
FINRA Arbitration Panel Affirms Validity of FINRA’s Six-Year Eligibility Rule
October 1, 2023
by Ryan P. Friel
Legal Updates for Securities and Investments
FINRA Announces Effective Date for New Procedures for Expungement Requests
August 16, 2023
by Samuel E. Cohen and Ryan P. Friel
Case Law Alerts
Broker-Dealer Found Grossly Negligent for Employees' Ponzi Scheme Operated Out of its Offices
July 1, 2023
by Ryan P. Friel
Case Law Alerts
Arbitrator Finds No Extraordinary Circumstances Existed That Would Permit the Equitable Tolling of FINRA's Six-Year Eligibility Rule
July 1, 2023
by Ryan P. Friel
FINRA Proposal Creates Urgency for Brokers Seeking Expungement of Customer Complaints
May 4, 2023
by Samuel E. Cohen and Ryan P. Friel
Case Law Alerts
Brokers-Dealer's Motion to Dismiss Expungement Granted Based on Six-Year Rule for Industry Disputes
January 1, 2023
by Ryan P. Friel
Case Law Alerts
Investors Awarded Compensatory Damages and Punitive Damages Pursuant to California Code, Civil Code - CIV §3294
January 1, 2023
by Ryan P. Friel
Case Law Alerts
Broker Wins Directed Verdict but Loses Expungement Request
October 1, 2022
by Ryan P. Friel
Case Law Alerts
FINRA Panel Authorizes Hold on Customer Account
October 1, 2022
by Ryan P. Friel
Case Law Alerts
FINRA Censures and Fines Broker-Dealer for Use of Instant Messaging App
July 1, 2022
by Ryan P. Friel
FINRA, the SEC and Congress Aim to Safeguard Senior Investors
May 12, 2022
by Samuel E. Cohen and Ryan P. Friel
Case Law Alerts
FINRA Arbitration Panel Requires Counsel to Submit COVID-19 Test Result
January 3, 2022
by Ryan P. Friel
Case Law Alerts
Expungement of Information Related to Settled Customer Dispute Arising Out of Complaint Not Made by Customer or Person Authorized to Act on Customer's Account
January 3, 2022
by Ryan P. Friel
