Finra arbitration filings were up 43% in 2009, lead by breach of fiduciary duty claims.
FINRA has put out a guide to compliance requirements and potential liabilities when using the Internet and electronic communications.
The Court will soon hear arguments about the deference that should be given to ERISA plan administrators...
A new regulatory scheme may be in the work for over-the-counter derivatives, if the Treasury gets proposed legislation through Congress.
An article in this week's Forbes magazine suggests that, to help avoid "old-fashioned embezzlement or a Madoff-style scam"...
The New York Law Journal summarized a recent opinion in a case involving the collapse of hedge fund Bayou Accredited...