Tagged: FINRA

FINRA Arbitration Rules Expanded to Exclude Collective Actions FINRA’s ban on formal class-style employment claims is now complete. On May 4, 2012, the comment period closed on a proposed change to Rule 13204 of the FINRA Code of Arbitration Procedure for Industry Disputes (“Industry Rule 13204”). See S.E.C. Release No. 34-66774. The change, approved by the Securities and Exchange Commission,...