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Archive for May, 2014


Aidikoff, Uhl & Bakhtiari files Securities and Exchange Commission comments on FINRA Rule 2081 regarding expungement

Aidikoff, Uhl & Bakhtiari partners, Philip M. Aidikoff and Ryan K. Bakhtiari, have filed comments with the Securities and Exchange Commission concerning proposed FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information).  Proposed Rule 2081 seeks to add additional safeguards to the expungement process by prohibiting the conditioning of the settlement of a dispute with a customer or compensating a public customer for the agreement to consent to, or not to oppose, a request to expunge information from the CRD system.

For information about the firm’s comments, visit http://www.securitiesarbitration.com/comments-filed.php

Aidikoff, Uhl & Bakhtiari is an “AV” rated law firm with a worldwide practice representing individuals and institutions in disputes with Wall Street and the financial services industry. Attorneys for the firm regularly appear before the Financial Industry Regulatory Authority (FINRA) as well as in numerous state and federal courts to resolve financial disputes between customers, employees, banks, brokerage firms, insurance companies and other members of the financial services industry.

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari to Speak at 2014 FINRA Annual Conference

Aidikoff, Uhl & Bakhtiari partner Ryan Bakhtiari has been invited to participate as a speaker at the 2014 FINRA Annual Conference program on Monday, May 19, 2014 titled “Arbitration, Expungement and Arbitrator Disclosure.” 

The FINRA Annual Conference is held between May 19, 2014 and May 21, 2014 at the Renaissance Washington, DC Hotel.  The conference brings together legal and compliance professionals, with securities industry regulators to discuss regulatory priorities and practical compliance solutions.
 
This year’s conference features more than 30 sessions, many of which are geared toward attorneys, including: 

  • Arbitration, Expungement and Arbitrator Disclosure
  • Enforcement Developments
  • Ethics and Professional Responsibility for Securities Attorneys

For more information and to register for the conference, visit www.finra.org/annualconference.

Aidikoff, Uhl & Bakhtiari is an “AV” rated law firm with a worldwide practice representing individuals and institutions in disputes with Wall Street and the financial services industry. Attorneys for the firm regularly appear before the Financial Industry Regulatory Authority (FINRA) as well as in numerous state and federal courts to resolve financial disputes between customers, employees, banks, brokerage firms, insurance companies and other members of the financial services industry.  More information is available at www.securitiesarbitration.com.

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