By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC has approved FINRA’s rule change proposal to implement recommendations resulting from the outside investigation of allegations that the arbitrator selection process was rigged.
By Harry A. Jacobowitz, Esq.**
A U.S. Court of Appeals holds that the Supreme Court’s effective vindication exception to the enforcement of arbitration agreements applies to an arbitration agreement that prevents a defined compensation retirement plan participant from pursuing plan-wide remedies.
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,