Page 6 - Resolution Services News Today

The U.S. Federal Maritime Commission says it has received more than 175 charge complaints from U.S. shippers against ocean common carriers since the enactment of the Ocean Shipping Reform Act...

Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement...

In first disciplinary action under Reg BI, FINRA fined broker $5,000, issued a six-month suspension from allegations broker engaged in excessive trading for outsized commissions. FINRA released Regulatory Notice 22-20 changing Sanctions Guidelines.

“Nothing indicates that Wells Fargo manipulated the arbitrator pool, the appeals court in Georgia ruled.

The Georgia Court of Appeals has overturned a controversial ruling by a state trial judge who vacated an arbitration award in favor of Wells Fargo and prompted the Financial Industry Regulatory Authority to launch an independent review of its arbitration system.

The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo.

As part of the new Shipping Reform Act the Federal Maritime Commission (FMC) announced it’s reorganizing its enforcement structure and plans to hire more investigators to crack down on ports...

The United States Federal Maritime Commission (FMC) on Friday announced it creating a new bureau to handle its enforcement and compliance activities.

On June 16, 2022, President Biden signed into law the Ocean Shipping Reform Act of 2022 (“OSRA 22”), the first major revision of US maritime regulatory statutes since 1998. OSRA 22...