Publications

Section Newsletter Articles on FINRA

Arbitration of customer disputes under FINRA By Scott Carfello Business and Securities Law, April 2015 An overview of the Financial Industry Regulatory Authority, its arbitration rules, and a look at how it differs from other arbitration providers.
A new option for resolving investment fraud disputes By Laurence M. Landsman Business and Securities Law, July 2013 This article provides the analytical framework for deciding whether to arbitrate a securities dispute involving a registered investment advisor within the FINRA Dispute Resolution process rather than file a lawsuit and litigate the claims in court.