Compensated Non-Attorney Representation Banned in FINRA Arbitrations and Mediations
On January 11, 2024, the Securities and Exchange Commission approved a rule change to its Codes of Arbitration Procedure and Mediation Procedure — proposed by FINRA — to bar individuals who are not attorneys from representing parties in the FINRA Dispute Resolution forum. Before the rule change, FINRA banned non-attorney representation in its arbitration and … Continue reading Compensated Non-Attorney Representation Banned in FINRA Arbitrations and Mediations