Month: February 2023

securities arbitration
Arbitration Primer

What is Securities Arbitration?

Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s,  FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]

Securities and Exchange Commission
Compliance News

SEC Investor Advisory Committee to Discuss the Growth of Private Markets, Oversight of Investment Advisers, and Open-End Fund Liquidity Risk Management at March 2nd Meeting

Feb. 24, 2023 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of Private Markets relative to the Public […]


SEC Settles Charges Against African Gold Acquisition Corp. for Internal Controls, Reporting, and Recordkeeping Violations

The Securities and Exchange Commission (SEC) has settled charges against African Gold Acquisition Corp., a special purpose acquisition company (SPAC), for violating Exchange Act provisions related to internal controls, reporting, and recordkeeping. The SEC’s order alleges that the SPAC’s former chief financial officer misappropriated approximately $1.2 million from the company’s […]

Tips for a successful securities mediation
Arbitration Brokers Investors

Tips for a Successful Securities Mediation

Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is […]