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How To Pursue a FINRA Arbitration Case Against a Stockbroker or Investment Adviser

by Robert Mitchell | Article, Matthew Luk, Robert Mitchell, Securities Law

Robert Mitchell CM Matthew Luk This article is meant to serve as a limited introduction to the FINRA arbitration process. Keep in mind that each case has its own unique facts and circumstances, and other issues and considerations arise alongside it. Please note that,...

Federal Court Sets Aside FTC’s “Non-Compete Rule”

by Matthew Luk | Matthew Luk, News

Matthew Luk On August 20, 2024, the United States District Court, N.D. Texas, Dallas Division issued an order setting aside the Federal Trade Commission’s “Non-Compete Rule,” or 16 C.F.R. § 910.1–.6 (the “Rule”).  The Rule would have made most non-compete agreements...

Review of SEC v. Jarkesy, and its impact on the Securities Industry

by Matthew Luk | Matthew Luk, News

Matthew Luk On June 27, 2024, the Supreme Court of the United States (“SCOTUS” or the “Court”) issued an opinion in the case Sec. & Exch. Comm’n v. Jarkesy, 603 US _ (2024). Headline news describes the decision as striking a “serious blow against the...

Regulators Increase Scrutiny of “Finfluencers”

by Matthew Luk | Matthew Luk, News

Matthew Luk The FTX bankruptcy is heightening global and domestic scrutiny of the use of paid celebrities to endorse investment opportunities and platforms. The 2020s mark a new era for social media influencers, with millennials and Gen Z increasingly obtaining...

Robert Mitchell welcomes new attorneys Matthew Luk, Anne Barber

by Tiffany & Bosco P.A. | Anne Barber, Matthew Luk, News, Tiffany & Bosco P.A.

Litigation attorneys CM “Matthew” Luk and Anne P. Barber have joined Robert Mitchell’s legal team at Tiffany & Bosco, P.A. Matthew Luk is a former investigator for the Financial Industry Regulatory Authority (FINRA), where he assisted with investigations of...

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