Articles

Six Things to Know about Arbitrating Diminished Capacity Issues in FINRA Customer Cases

By Josh Jones – March 7, 2019 | Unique situations arise when litigating competency issues in the FINRA forum.

Is It Your First Time Having a Client under Investigation by FINRA?

By Joseph S. Simms and Andrew T. Illig – March 7, 2019 | Here's what you need to know, from receipt of an 8210 letter to the hearing in the enforcement action.

Practice Points

How Broad Is “Scheme” Liability Under Rule 10b-5 Following Lorenzo v. SEC?

By Jessica Ortiz, Caleb Hayes-Deats, and Michelle Parthum – April 5, 2019 | It could be one of the most significant securities cases of the past decade.

The SEC’s Focus on Controls

By Brian Neil Hoffman – March 25, 2019 | Public companies, auditing firms, and both of their personnel should pay attention to several important points, considering the continued enforcement activity in this area.

Audio

When Does the FINRA Code Require Arbitration of Customer Claims?

By Peter Tepley – February 11, 2019 | This program discusses FINRA Rule 12200 and the Eleventh Circuit's decision in Pictet Overseas, Inc. v. Helvetia Trust, 905 F.3rd 1183 (11th Cir. 2018) interpreting that rule. In particular, it focuses on the court's analysis of when does a customer dispute with a FINRA Member or Associated person arise in connection with the business activities of the associated person so as to require that the dispute be arbitrated under the FINRA Code of Arbitration procedure. It also briefly discusses the holdings in two other cases dealing with similar issues.

Federal Forum Charter Provisions for Securities Claims

By Albert Manwaring – February 11, 2019 | This program addresses whether a Delaware Corporation may include in its certificate of incorporation a forum-selection provision, requiring that 1933 Securities Act claims be filed exclusively in federal court.

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