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FINRA Files Proposed Rule Changes to Code of Arbitration Procedure
The Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 23, 2022, that, among other things includes amendments to FINRA’s Code of Arbitration Procedure aimed at improving the experience of parties using FINRA’s arbitration forum. The proposed procedural changes include: Virtual Prehearing Conferences First, under […] More
FINRA Files Proposed Rule Change to Make Arbitrator Selection Process More Transparent
In the wake of a Georgia state court vacating a Wells Fargo arbitration award early last year, the Financial Industry Regulatory Authority (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 23, 2022, that, among other things, principally aims to provide greater transparency regarding potential arbitrators’ conflicts of interest […] More
Winget, Spadafora & Schwartzberg, LLP Promotes Two New Partners
Winget, Spadafora & Schwartzberg, LLP is pleased to announce the promotion of two partners in its Los Angeles and New York City offices. Alexis T. King handles a broad range of civil litigations with a focus in professional liability defense. Her professional liability defense practices includes the representation of lawyers and other professionals in federal […] More
FTC Proposes a New Rule that, if Finalized, would Ban Employers from Using Non-Compete Clauses
On January 5, 2023, the Federal Trade Commission (“FTC”) proposed a new rule that would ban employers from imposing non-compete clauses on their workers and require employers to rescind any existing non-compete agreements with current and former workers. The FTC will soon publish the proposed rule in the Federal Register, triggering a 60-day public comment […] More
Michael Schwartzberg to Speak on a Panel at the Financial Services Institute’s OneVoice Conference
On Tuesday, January 24, 2023, Michael Schwartzberg will be speaking on a Panel at the Financial Services Institute’s OneVoice Conference regarding “The Evolving Regulatory Perspective and Its Impact on the Risk vs. Growth Balance.” Michael will be joined by Co-Panelists: Seth Miller, President, Advocacy and Administration at Cambridge Investment Research, Inc.; Mark Quinn, Director of […] More
FINRA Proposes Significant Amendments to Expungement Rules
On July 29, 2022, FINRA filed a proposed rule change with the SEC seeking to modify the expungement process to address certain concerns articulated by the Public Investor Advocacy Bar Association (“PIABA”) regarding the integrity of the process. The SEC is currently soliciting comments on the proposed rule change, and if the SEC approves the […] More
