By George H. Friedman, SAA Publisher and Editor-in-Chief*
Just ahead of a late June deadline, the SEC submitted a staff report to the Congress on investment adviser arbitration.
By David E. Robbins[1]
Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2] This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”
By Richard P. Ryder, Esq.*
We reported in SAA 2023-12 (Mar. 23) on a newly-released research paper that questions securities arbitration’s fairness and,
By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
By Courtney Werning, Dave Neuman, Jorge Riera, and Michael Edmiston[1]
Introduction
Industry-sponsored arbitration has long been the only option for investors who have claims against their financial advisors and brokerage firms.
By Stephanie Korenman and Aegis Frumento*
Introduction
For decades, arbitration practice has been conceptualized as an alternative way to resolve cases,