By George H. Friedman, SAA Publisher & Editor-in-Chief
The comment period closed recently on the Petition for Proposed Rulemaking filed by a coalition of leading consumer advocacy groups,
By Harry A. Jacobowitz, Esq.
The three-member FINRA arbitration panel rejects liability against a clearing broker that facilitated trading in fraudulent securities.
By Harry A. Jacobowitz, Esq.
The Award, Inlow v Barrows, FINRA ID No. 22-01360 (Los Angeles, CA, Oct. 30,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Supreme Court has granted Certiorari in another arbitration-related case.
By George H. Friedman, SAA Publisher & Editor-in-Chief
On the heels of the October 16 effective date of a number of rule amendments affecting the expungement of customer dispute information,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA’s proposal to amend the non-attorney representation rules has been published in the Federal Register.