Carlos Legaspy is a respondent in a FINRA arbitration that was scheduled to go to hearing in August. As with all other FINRA cases, it was subject to a sweeping administrative decision by FINRA to postpone all in-person hearings through the summer, due to the pandemic. As I have noted before, that decision imbued
COVID-19
Securities Regulators In The Age Of Covid-19
By Blaine Doyle on
Thanks to Blaine not only for attending this conference, but for actually listening, so he could share with you the insights he gleaned from the local securities regulators here in Chicago. – Alan
While much of the broker-dealer world has been trying to figure out how to protect the financial welfare of their customers, in…
FINRA Addresses Online Fraud In The Face Of COVID-19
By Fran Goins on
I am fairly certain that at least every once in a while, you appreciate hearing from someone a bit less snarky than me. If so, then you’re in luck! Please enjoy this post from my partner, and my co-leader of Ulmer’s Financial Services practice group, Fran Goins, about FINRA’s response to COVID-19. – Alan
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