Anticipating a FINRA Arbitration – What’s Next?
By Amy E. Slusser, Esq.
When a dispute occurs between a customer and a securities broker, financial advisor, or other professional, it is highly likely that the parties will go to arbitration or mediation through the largest regulator of securities firms, FINRA— the Financial Industry Regulatory Authority. Many financial agreements include a clause that requires the parties bring any disputes to arbitration and forego the right to a jury trial. Both investors and industry professionals can learn to mitigate risks and plan for optimal resolutions by understanding key factors of the FINRA arbitration process.
Total Return Swaps: From the Obscure to the Legal Spotlight
By Stacey P. Slaughter, Esq. and Justin Krieg, Ph.D.
Historically, Total Return Swaps (“TRS”), which share characteristics with both interest rate swaps and credit default swaps, have operated as obscure financial derivative products. Recently, however, TRS have gained heightened attention due to various investigations and regulatory scrutiny.
Spotlight on Justin Krieg, Ph.D. Economist and In-House Economic Consultant
Our 15-person, in-house Financial and Economic Consultants Group is comprised of C.P.A.s, M.B.A.s, and Ph.D. economists who assist our attorneys with the many financial, accounting, and economic issues that arise in complex litigation. This at-the-ready pool of talent and expertise enables us to more effectively and efficiently serve our clients. The newest member of our group is Justin Krieg, a Ph.D. Economist, who specializes in derivative securities.
© 2013 Robins, Kaplan, Miller & Ciresi L.L.P.