Punitive damages, disclosures over employment terminations, the statute of limitations for bringing claims — FINRA is asking ...

Responding to concerns raised and longstanding debates over how the Financial Industry Regulatory Authority’s (FINRA) arbitration forum functions, on March 2, FINRA issued Regulatory Notice 26‑06, ...

The self-regulatory organization is asking for public comments on what could amount to a significant overhaul of its dispute resolution system.

Investor advocates push sweeping reforms to arbitration and oversight as lawmakers question governance and executive pay.

The Securities Industry and Financial Markets Association has outlined a series of recommendations it says would improve the fairness and efficiency of the Financial Industry Regulatory Authority’s ...

Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...

Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...

The Financial Industry Regulatory Authority Inc. and The Charles Schwab Corp. are engaged in a legal fight over whether a brokerage firm can avoid customer class-action claims by forcing all disputes ...