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Rachel Maimin interviews Lowenstein partner Christopher Gerold, former Chief of the New Jersey Bureau of Securities and former Chair of the North American Securities Administrators...
Sen. Elizabeth Warren and Rep. Katie Porter are pressing the regulator after a Georgia judge called the fairness of its arbitration process into question.
A judge ruled that Wells Fargo had manipulated the arbitrator selection process.
About 20% of FINRA client arbitration awards are unpaid every year, but there are signs that the former First Standard clients could receive some restitution.