FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.
We reported in SAA 2018-47 (Dec.
FINRA’s Board of Governors was scheduled to meet December 12-13 and consider two arbitration-related proposals according to the posted meeting Agenda.
In SAA 2018-24, we identified the four broker-dealers (BDs) with the largest presence in securities arbitration, with special emphasis on their Customer-Member Awards. This week,
The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice seeking comments on non-attorney representatives (“NAR”). With about 60 comments filed,
Last week, we identified and began surveying the 2016 Award records of the five broker-dealers (BDs) with the largest number of Awards that year,
After reading George Friedman’s article in the July edition of the SAC print newsletter (“The Camel and the Last Straw or the Frog and the Boiling Water: Pick Your Parable”),