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,
By George H. Friedman, SAA Publisher & Editor-in-Chief
As more and more financial services firms announce their plans for returning staff to the workplace (see our coverage in SAA 2021-24 (Jun.
By Ksenia Matthews*
Introduction
In civil litigation, discovery is the process by which parties exchange information that is essential to the disposition of the case.
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.