Mitchell Grant is a self-taught investor with over 5 years of experience as a financial trader. He is a financial content strategist and creative content editor. Dr. JeFreda R. Brown is a financial ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

It’s been 14 years since the Congress gave the SEC its blessing to clamp down on mandatory arbitration clauses in registered investment advisors’ contracts – and it is now considering what to do about ...

The article argues that the decline in public companies is due to private mergers, not regulation or litigation risks. Current market conditions are strong for IPOs, but SEC moves to allow mandatory ...

Brokers often are criticized for demanding that the contracts they sign with customers contain mandatory arbitration clauses, but registered investment advisers increasingly are doing the same thing, ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

I have something in common with Stephen Sawtelle — a former broker from Waddell & Reed who was just awarded almost $28 million from an NASD arbitration panel (see the front page story in The Wall ...

Texas Attorney Complaint Transparency and Record Preservation Act: Require the Texas State Bar to permanently retain all bar ...

An appellate court ruling earlier this month denying Chipotle’s effort to compel arbitration of a sexual harassment claim shines a spotlight on the kinds of issues in-house counsel will face since the ...

Robert J. MacPherson, a director at Gibbons, and Neal M. Eiseman, a partner at Goetz Fitzpatrick, discuss the cost-effectiveness of arbitration and the recent revisions to the Prompt Payment Law.