National Adjudicatory Council

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  Schwab Backs Off on Class-Action Ban—for Now

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Charles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.

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  Stop Denying Investor Rights: End Forced Abitration Now

  By Heath Abshure, NASAA President  |  May 16, 2013

  For too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.

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  NASAA Joins FINRA in Fight Against Schwab Class-Action Ruling

  By Melanie Waddell, AdvisorOne  |  May 9, 2013

  State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by its hearing panel that allowed Charles Schwab & Co. to block customer participation in class-action lawsuits.

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  Schwab Dodges FINRA Action on Arbitration Waivers

  By Melanie Waddell, AdvisorOne  |  February 21, 2013

  A FINRA disciplinary panel on Thursday upheld Charles Schwab’s decision to include a class-action waiver in its customer arbitration agreements.

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  SEC, FINRA Enforcement Roundup: Egan-Jones Settles Over False Statements

  By Marlene Y. Satter, AdvisorOne  |  January 24, 2013

  Recent enforcement actions taken by FINRA and the SEC include an order against Westor Capital and its president for misuse of customer shares and funds.

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  SEC Names Aronow as General Counsel

  By Melanie Waddell, AdvisorOne  |  January 7, 2013

  Geoffrey F. Aronow replaces Mark Cahn, who left the agency last week.