August 06, 2020

FINRA Arbitrations: A Comprehensive Guide for 2020 and Beyond


Partner Tracey Salmon-Smith was a featured panelist on “FINRA Arbitrations: A Comprehensive Guide for 2020 and Beyond” as part of a Knowledge Group webcast on August 6, 2020. New regulatory and legislative developments continue to reshape the Financial Industry Regulatory Authority (FINRA) arbitration landscape. One of the sweeping changes today is FINRA’s temporary shift to remote operations and virtual arbitrations in response to the ongoing COVID-19 pandemic. Tracey’s segment focused on disclosure obligations including customer complaints, liens and other financial problems.

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