Are We Seeing the Start of a Tectonic Shift on Mandatory PDAAs in the Financial Services Field?
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By George H. Friedman, SAA Publisher & Editor-in-Chief

This is less a letter from the editor and more your editor’s musings, but I wonder whether we are seeing the start of a tectonic shift on mandatory predispute arbitration agreements (“PDAA”) in the financial services field?

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AAA Stats, 1st Qtr. 2021: Consumer & Employment Case Information Updates
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AAA Award Data is updated quarterly by the American Arbitration Association. This analysis of the latest update is provided by Rick Ryder, President of Securities Arbitration Commentator,

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FINRA Goes Back to the Drawing Board on Expungement Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

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SCOTUS Grants Certiorari in Badgerow. At Issue: The “Look Through” Standard
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By George H. Friedman, SAA Publisher & Editor-in-Chief

As reported in SAA 2021-19 (May 20), the Supreme Court on May 17 granted Certiorari in a case involving application of the “look-through” standard.

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Remember the FINRA Case Where the Broker Challenged a Zoom Hearing Ordered Over His Objection? It’s Been Awarded
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The arbitration underlying a suit challenging a FINRA Panel’s authority to hold a virtual hearing over a broker’s objection has been awarded. 

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SEC’s Gensler Again Grilled on Mandatory Arbitration
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By George H. Friedman, SAA Publisher & Editor-in-Chief

For the second time in the past few months, SEC Chair Gensler was asked to articulate his views on mandatory securities arbitration,

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