Mini-Survey: Seniors Reach Hearing and Award Only Marginally More Quickly Than Customers as a Whole in FINRA Arbitrations
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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,

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FINRA DRS Posts Stats Through October: Overall Arbitration Filings Continue to Decline, But Mediations are Going Through the Roof
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through the end of October,

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NASAA Proposes Model Rules to Address Unpaid Awards and Fines
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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.

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Third PIABA Report on Unpaid Awards: “It’s Getting Worse”
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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,

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It’s Been More than Three Months Since FINRA Went Back to the Drawing Board on the Expungement Rule. How Long is “Temporary”?
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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.

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Thought the Stanford Ponzi Scheme Cases were Done?  Read on…  
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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,

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