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We are pleased to announce that our New York Office Partner, Kenneth A. McLellan, was recently inducted into the Federation of Defense and Corporate Counsel
The FDCC is a professional trade association of vetted and premier defense and corporate counsel and industry executives dedicated to leading the profession by advancing the principles of integrity, professionalism, and fair civil justice. Since 1936, the FDCC has continued building on its strong foundation of leadership and service to the legal profession and to […] More
Christina M. Rieker to co-chair Women in Insurance Leadership ExecuSummit
Christina M. Rieker will co-chair the 6th Annual Women in Insurance Leadership ExecuSummit, March 14 & 15, 2023 at the Mohegan Sun Hotel & Convention Center, Uncasville, CT. In addition to co-chairing, Christina is moderating a panel entitled, “Where Have All the Employees Gone” discussing ways to keep employees engaged and satisfied in the age […] More
WSSLLP’s Philadelphia Office Wins Defense Award in FINRA Arbitration Seeking Monetary Damages and Expungement for Alleged Defamation
The firm’s client is a national broker-dealer which was a Respondent in a FINRA arbitration where Claimant sought monetary damages of $676,000. He also sought expungement of the disclosure of his involuntary termination and reason for the termination from his publicly available broker-check report. Claimant alleged that his broker-dealer defamed him when it completed the […] More
FINRA Issues Exam Priorities for 2023
On January 10, 2023, the Financial Industry Regulatory Authority (“FINRA”) released its 2023 Examination and Risk Monitoring Program Report. The report “provides member firms with insight into findings from the recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.”[1] The report is published to promote greater transparency to member firms as well […] More
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
