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.
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,
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.
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.
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.
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.