August 15, 2013

From the program: Securities Arbitration 2013

Released on: Aug. 15, 2013

The continuing national discussion regarding the fairness of arbitration has influenced the forums management of the process. FINRA has focused not only on the compositions of arbitration panels but the definition of who is a “customer” and what is “suitable” in securities cases. In 2013 FINRA will continue its focus on employment disputes and expungement applications.This year’s Securities Arbitration program will feature FINRA Dispute Resolution’s ...

• Aug. 15, 2013

Released on: Aug. 15, 2013

Taken from the briefing FCPA Compliance in Latin America recorded August, 2013.It is old news that the U.S. government is aggressively enforcing the Foreign Corrupt Practices Act, the U.S. law that prohibits bribery of foreign public officials. Particularly over the last decade, the U.S. Justice Department and Securities & Exchange Commission have been hitting wrongdoers with significant monetary penalties and, in the case of individuals, prison ...