FINRA DRS Postpones In-Person Hearings through Beginning of April
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FINRA’s Office of Dispute Resolution Services (“DRS”) has again administratively postponed all in-person arbitration and mediation hearings.

The January 5 announcement now includes hearings through April 2;

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Eleventh Circuit Upholds $3 Million Sanction FINRA Award Against Morgan Stanley
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(This analysis is authored by SAA Editorial Board member Robert Pearce, a Securities Arbitration Lawyer at the Law Offices of Robert Wayne Pearce,

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SEC Approves FINRA Chair Honoraria Increases
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved a FINRA proposal increasing certain Chairperson honoraria.

We reported in SAA 2019-48 (Dec.

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PLI’s “Securities Arbitration 2020” – A New Medium, But the Same Great Content
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Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,

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Seminar Highlights: “FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond”
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SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,

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A Strategic Overview of FINRA Arbitration: Three I’s of Growth – Investment Advisers, Institutional Customers, and International Investors
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A Strategic Overview of FINRA Arbitration: Three I’s of Growth

Investment Advisers, Institutional Customers, and International Investors

By Richard P.

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