For the last 21 years, most individual securities claims brought by investors have been adjudicated in arbitrations before self-regulatory organizations. By far the largest dispute resolution forum ...
On February 6, 2024, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 24-03, which announced certain amendments to the Codes of Arbitration Procedure (the Codes). Among ...
The policy shift goes against decades of SEC history blocking companies from mandating shareholder arbitration. But securities litigators are unsure whether the policy change will be a bomb or bust.
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