FINRA Releases Report on Independent Review of “Rigged Panels” Accusation: Finds No Irregularities But Recommends Changes
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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.

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Independence Day and Arbitration
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By George H. Friedman*

Years ago I penned a blog post on Independence Day and arbitration, and updated it a few years ago.

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Update: More on NASAA Approval of Final Model Rule on Unpaid Awards
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported briefly in SAA 2022-20 (May 26) that the North American Securities Administrators Association (“NASAA”) on May 20 adopted its Unpaid Customer Arbitration Awards Model Rule.

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Unanimous SCOTUS Decides Southwest: Goes with the Flow on “Engaged” in Interstate Commerce
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The Supreme Court has decided Southwest Airlines Co. v. Saxon, No.

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Former Merrill Broker Hit with a $7.5 Million Award Months After Release From Prison
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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,

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Our Promised Elaboration on the FINRA DRS 1Q Stats
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through March, with the overall case filing trends – with one exception – about the same as before.

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