By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA has released the long-awaited report of outside investigators retained to study the “rigged panels” accusation.
A broad coalition of a dozen consumer advocacy groups – including PIABA – has written to the SEC. urging that the Commission investigate the use by RIAs of mandatory predispute arbitration agreements (“PDAA”) providing for the use of non-SRO arbitration fora,
By George H. Friedman, SAA Publisher & Editor-in-Chief
As authorized in March by its Board, FINRA has filed a rule change proposal to conform the Industry Code to the newly-enacted Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As widely reported in the media, a former Merrill Lynch broker, who had earlier this year been released from prison after serving a three-plus year sentence resulting from his misconduct,
By Harry Jacobowitz, Esq.****
In spite of the fact that arbitration claims that violate FINRA’s six-year eligibility rule must be dismissed without considering additional grounds for dismissal and without prejudice to the claimant’s or claimants’ right to pursue the claims in court,
By George H. Friedman, SAA Publisher & Editor-in-Chief
On the heels of the decision by Fulton County Superior Court Judge Belinda E.