By George H. Friedman, SAA Publisher & Editor-in-Chief
Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) has posted case statistics through June, with most trends persisting.
By Rick Ryder, President & Founder-Securities Arbitration Commentator
AAA Award Data is updated quarterly by the American Arbitration Association. This analysis, which covers the first quarter of 2022,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The recent pace of legislative activity prompted us to look up how many bills have been introduced in the 117th Congress that in some way,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA has issued a Regulatory Notice reminding industry parties on the proper use of predispute arbitration agreements (“PDAA”) in customer account agreements.