March 19, 2013
FINRA and Charles Schwab's Class Action WaiverJill Gross and I critique the FINRA hearing panel's recent decision in a disciplinary proceeding against Charles Schwab, holding that FINRA's arbitration rule prohibiting class action waivers was unenforceable, at the CLS Blue Sky Blog. Do Broker-Dealers Have a Green Light to Force Investors to Waive Class Actions in Court?
TrackBack URL for this entry:
Listed below are links to weblogs that reference FINRA and Charles Schwab's Class Action Waiver: