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.
By George H. Friedman*
Years ago I penned a blog post on Independence Day and arbitration, and updated it a few years ago.
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Supreme Court has decided Southwest Airlines Co. v. Saxon, No.
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 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.