FINLAW: Pitfall to the Unwary — Mandatory Arbitration and the Unanticipated FINRA Enforcement Action
We hear frequent complaints about FINRA arbitrations. The arbitration is unfair to one party or another, that there are insufficient procedures to dismiss frivolous cases, or that the arbitrators do not spell out the factual or legal basis for their decision. While each of these may be a legitimate complaint, unwary litigants who are also
Read MoreSpeaker, FINRA Arbitration and Enforcement – What You Need to Know, The Knowledge Group’s Continuing Legal Education for Lawyers Webinar, October 5, 2017
https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement Key Topics Understanding FINRA Arbitration The Arbitration Process Risks of FINRA Disciplinary Action Latest Updates to FINRA Code of Arbitration Procedure Best Practices for Counsel
Read MoreFinLaw: Technology Driven Crowd-Capital Formation: From Crowdfunding to Regulation A+
See FactRight.com posting by Scott Andersen and George Georgiades at http://blog.factright.com/technology-driven-crowd-capital-formation-from-crowdfunding-to-regulation-a Recent regulatory reforms along with the rapid innovation in and availability of financial technology have created new opportunities for private and public capital formation. The JumpStart Our Business Startups (JOBS) Act of 2012 introduced historic reforms to modernize our private capital markets with the goal
Read MoreFINLAW: Five Tips to Crowdfunding Portals – Preparing For Your First FINRA Exam
See Article published on BanklessTimes http://www.banklesstimes.com/2017/05/23/5-tips-to-crowdfunding-portals-preparing-for-your-first-finra-examination/
Read MoreFINLAW: Is Your Crowdfunding Portal Ready For Your First FINRA Exam?
Article published on CrowdfundInsider.com https://www.crowdfundinsider.com/2017/05/100678-crowdfunding-portal-ready-first-finra-exam/
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