SEC Approves FINRA’S Rule Change Proposal Implementing “Rigged Panels” Investigation Report Recommendations
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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.

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FINRA Panel Awards Broker $2.5 Million and U5 Reformation Over Stinging Partial Dissent
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By Harry A. Jacobowitz, Esq.*

A registered representative won a big award of monetary damages against his former employer from a majority of a three-member arbitration panel,

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SEC Submits Staff Report to Congress on Investment Adviser Arbitration: Bombshells Galore
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 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.

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FINRA DRS Posts Stats Through May: A Very Strong Year in Arbitration Filings Continues
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through May, with recent trends continuing to show a very strong year in arbitration filings – especially industry cases – and a continued drop-off in mediations.

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June Marks One Year Anniversary of “Rigged Panels” Investigation Report
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By George H. Friedman, SAA Publisher & Editor-in-Chief

It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.

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UPDATE: Parties Agree to Vacate FINRA Panel’s $36+ Million Award Against Oppenheimer
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The parties have stipulated to a Consent Order vacating a massive Award rendered against Oppenheimer by a FINRA Panel.

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