Settling Away: Unreported Private Settlement of Customer Complaints in the Securities Industry by Barry Temkin, published in the May 2010 Securities Arbitration Commentator

MCWG counsel Barry Temkin has published an article in the May 2010 edition of Securities Arbitration Commentator entitled "Settling Away: Unreported Private Settlement of Customer Complaints in the Securities Industry."  In his article, Mr. Temkin analyzes recent enforcement trends by the Financial Industry Regulatory Authority (FINRA), and notes the absence of a specific regulation explicitly proscribing private settlement by registered securities representatives. Dawn Maruna, an associate at MCWG, assisted in the research for this article. Please download your copy below.