Financial Industry Regulatory Authority
U.S. Government: Agencies/Departments/Divisions | Federal Agencies
Recent News About Financial Industry Regulatory Authority View More
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Three Littler Attorneys Elected as College of Labor and Employment Lawyers Fellows
Littler, the world’s largest employment and labor law practice representing management, is proud to announce that shareholders Janell Ahnert (Birmingham), Jeff Nowak (Chicago) and Michael Royal (Dallas) have been elected as fellows in the College of Labor and Employment Lawyers’ (CLEL) 2023 class. -
Holland & Knight Announces 36 New Partners
Holland & Knight Announces 36 New Partners. -
Judge: CBOE can't be held liable for failure to stop manipulation of VIX market
Judge says investor plaintiffs can't prove they were actually harmed by manipulation, or that CBOE intervention would have stopped anything. -
Supreme Court ruling in similar case sends ex-UBS employees' class action suit to arbitration
A class-action lawsuit against UBS will be settled in arbitration after a recent Supreme Court ruling shifted the framework on which the plaintiffs had relied. -
SECURITIES AND EXCHANGE COMMISSION: SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. -
EPSTEIN BECKER & GREEN: Former DOJ Trial Attorney Janene Marasciullo and Former U.S. Attorney’s Office Criminal Division Co-Chief Eric W. Moran Join Epstein Becker Green
Epstein Becker Green (EBG) is pleased to announce that Janene Marasciullo and Eric W. Moran have joined as Members of the Firm in the Employment, Labor & Workforce Management and Litigation & Business Disputes practices -
CHUHAK & TECSON: Financial Industry Regulatory Authority set to tighten expungement rules even further
Perhaps the most important arrow in the quiver of broker-dealers, their registered representatives, and other securities professionals when it comes to protecting their livelihoods and reputations is the ability to have negative information expunged from the Central Registration Depository (CRD) system and hence from the Financial Industry Regulatory Authority (FINRA) BrokerCheck website. -
IL appeals panel: Email from Chicago lawyer doesn't mean court fight between OH firm, NV biz belongs in Cook County
A state appeals court has shot down a Cook County judge's ruling, finding the judge was wrong to assert Chicago was the proper venue for a law firm headquartered in Ohio to sue a company based in Nevada, even though an email sent from Chicago was the only connection the defendant claimed it had in Illinois. -
Judge: UBS can't use arbitration clause to sidestep class action by fired employees over bonus payments
A federal judge has denied an attempt by UBS to sidestep a class action suit accusing the company of terminating employees to avoid paying their bonuses. -
FINRA can't be sued by fired brokers who claimed they didn't get fair shake at arbitration
A Chicago federal judge has dismissed a lawsuit against the Financial Industry Regulatory Authority Inc. (FINRA), saying the regulatory agency can't be sued by fired brokers who claimed they didn't get a fair shake in arbitration against their former employers. -
Part-time clerk or not, man must face arbitration over accusations he stole data before leaving UBS for competitor, judge says
A Chicago federal judge has refused to halt arbitration proceedings brought by investment firm UBS Financial Services against a former clerk, whom UBS has alleged helped steal company information with which to lure away customers. Alexander Freund worked as a part-time clerk for UBS in Chicago from Nov. 7, 2011, to Feb. 15, 2012, when he left to work for Wells Fargo. -
Former part-time clerk asks judge to rein in UBS' efforts to lasso him in FINRA arbitration worth millions
A former clerk with UBS Financial Services in Chicago went to Chicago federal court last week, arguing the Financial Industry Regulatory Authority has no jurisdiction over him in a multi-million dollar arbitration action, brought against him by UBS for allegedly breaching his employment contract. On Sept. 10, Alexander Freund lodged a two-count complaint against New Jersey-headquartered UBS Financial Services, seeking declaratory judgment and an injunction.