UPDATE: Alleging Arbitrator Bias, Oppenheimer Moves to Vacate FINRA Panel’s $36+ Million Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.

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FINRA DRS Posts Stats Through June: Customer and Industry Arbitration Claims Are Down at the Half-way Mark. Mediation Filings Are Still Strong, But Are Slowing Down
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through June, with most trends persisting.

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AAA Case Stats, 1st Quarter 2022: Consumer & Employment Disputes
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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,

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SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
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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,

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Over 170 Bills Already Introduced This Congress Involving Arbitration
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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,

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FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements
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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.

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