FINRA intends to codify its program to expedite administration of cases involving senior or seriously ill parties. As promised, we commissioned a survey on the program’s effectiveness,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) posted case statistics through the end of October,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The North American Securities Administrators Association (“NASAA”) has released for public comment draft model rules to address the lingering problem of unpaid fines and arbitration awards.
By George H. Friedman, SAA Publisher & Editor-in-Chief
PIABA’s third report in over five years says the problem of unpaid FINRA awards is getting worse,
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Stanford Ponzi scheme was discovered in early 2009. Arbitration cases arising out of it are still with us,