Harvey Herman Appointed Arbitrator For FINRA
November 19, 2007
CM Partner Harvey R. Herman has been appointed as an Arbitrator for the Financial Industry Regulatory Authority (FINRA). FINRA is the largest non-governmental regulator for securities firms doing business in the United States. FINRA was created in July 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration functions of the New York Stock Exchange. FINRA operates the largest dispute resolution forum in the securities industry. As an Arbitrator, Mr. Herman will decide disputes brought by investors against securities firms and financial representatives and disputes brought by and between securities firms and financial representatives.
