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Jacko Law Group Blog

Arbitration Agreements by Investment Advisers Receiving Criticism - At Least in One State

This week William Galvin, Massachusetts Secretary of the Commonwealth, sent a letter to the Securities and Exchange Commission (“SEC”) urging them to disallow the use of arbitration agreements by registered investment advisers. Such agreements are common in contracts between investment advisers and their clients, and typically specify such items as the process of arbitration, what governing body will administer the arbitration proceedings, and the jurisdiction in which arguments will be heard.

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Thanks to New FINRA Program, Mediation Resolution is Just a Phone Call Away

Recently, the Financial Industry Regulatory Authority (“FINRA”) launched a new pilot program offering parties in small claims cases free or low-cost telephone mediation. This program is voluntary and open to all cases involving claims of $50,000 or less.

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