Ghabai Law Group LLC Launches New Firm in Boston’s Financial District Focused on Representing Financial Services Firms and Professionals

Boutique Law Firm Combines Sophisticated Cost-effective Legal Counseling with Sound Practical Judgment And Hands-on Business Experience

Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status Report

There are several proposals in various stages of the rulemaking process, including a rule that would provide for the expedited resolution of small customer and intra-industry disputes in claims involving $50,000 or less. Another pending rule includes FINRA notifying state securities regulators when brokers make a request for expungement relief.

The headquarters of the U.S. Securities and Exchange Commission (SEC) are seen in Washington, July 6, 2009. REUTERS/Jim Bourg

U.S. appeals court rejects SEC’s use of administrative law judges

A divided federal appeals court has ruled that the U.S. Securities and Exchange Commission’s in-house administrative judges are not constitutionally appointed, raising the prospect that the U.S. Supreme Court may need to address the issue.