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FINRA faces blitz of claims

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  • FINRA faces blitz of claims

    Accused of lax oversight in the wake of recent financial frauds, FINRA, the largest nongovernmental regulator of securities firms, is now facing an explosion of arbitration claims stemming from troubles in the capital markets. Moving some of those claims into the FINRA arbitration process are about a dozen law school securities arbitration clinics across the country, which are fielding numerous requests for help, often from elderly investors.

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    The National Law Journal
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