By George H. Friedman, SAA Publisher & Editor-in-Chief
On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,
By George H. Friedman, SAA Publisher & Editor-in-Chief
Independence Day 2021 will be ushered in with a bang for FINRA Dispute Resolution Services (“DRS”) constituents yearning for a return to in-person arbitration and mediation hearings.
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) posted case statistics through March with the overall case filing decline unchanged from February,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) posted case statistics through February with key metrics starting the year still below 2020’s numbers,
This review of the latest FINRA dispute resolution stats update is provided by Rick Ryder, President of SAC, Inc. and SAC’s ARBchek –