FINRA Posts Dispute Resolution Stats Through February: A Decent Month After a Rough Start to the Year
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through February with key metrics starting the year still below 2020’s numbers,

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The Elections are (Finally!) Over: What’s in Store for the Arbitration and the Financial Services Worlds?
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By George H. Friedman*

At long last the 2020 elections are behind us [bipartisan cheer], and the Democrats have taken over the White House,

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FINRA Year-end Stats 2020: Average in Some Respects; in Other Ways, a Most Uncommon, Even Unique, Year
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This review of the latest FINRA dispute resolution stats update is provided by Rick Ryder, President of SAC, Inc. and SAC’s ARBchek

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A Funny Thing Happened on the Way to a Quiet Year in ADR: How a Pandemic Accelerated Profound, Lasting Changes
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By George H. Friedman SAA Publisher and Editor-in-Chief*

“Strength does not come from winning. Your struggles develop your strengths. When you go through hardships and decide not to surrender,

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Eleventh Circuit Upholds $3 Million Sanction FINRA Award Against Morgan Stanley
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(This analysis is authored by SAA Editorial Board member Robert Pearce, a Securities Arbitration Lawyer at the Law Offices of Robert Wayne Pearce,

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SEC Approves FINRA Chair Honoraria Increases
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved a FINRA proposal increasing certain Chairperson honoraria.

We reported in SAA 2019-48 (Dec.

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