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Proposed FINRA Rule 2231 governing customer account statements

USA - October 15 2014 Through its recent Regulatory Notice 14-35, the Financial Industry Regulatory Authority ("FINRA") announced and sought comments on its proposed new…

The unclear future of arbitration clauses in consumer finance contracts

USA - March 17 2015 The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) released a study last week regarding the financial industry’s use of pre-dispute…

FINRA issues guidance on avoiding investment scams

USA - March 11 2015 The Financial Industry Regulatory Authority ("FINRA") recently issued an Investor Alert (the "Alert") to warn investors about the most prevalent…

FINRA Rule 3110(e)

USA - September 25 2014 The Financial Industry Regulatory Authority ("FINRA") recently filed a proposal with the Securities and Exchange Commission ("SEC") to amend FINRA's…

What you don't say can be used against you: assessing the Fifth Amendment's role in qui tam litigation

USA - April 2 2014 In 1987, current Florida Governor Rick Scott used his life savings to start Columbia Hospital with the idealistic goal of cutting healthcare costs…

Thomas K. Potter, III