FINRA Dispute Resolution Services: “Get Vaccinated or Participate Virtually (Except in Florida)”
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) on September 17 announced an updated COVID-19 vaccination policy.

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Longtime Consumer Advocate Roper Joins SEC Senior Staff: Any Implications for FINRA DRS?  
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Consumer advocate and mandatory arbitration critic Barbara Roper has joined the SEC’s senior staff.

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FINRA DRS Posts Stats Through 2Q: Customer Claims Are Even with 2020, While Industry Claims Continue to Plummet. And the COVID-19 Pending Cases Backlog is Really Gone
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through June, with the overall case filing trends essentially unchanged from prior months.

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Thought the Stanford Ponzi Scheme Cases were Done?  Read on…  
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The Stanford Ponzi scheme was discovered in early 2009. Arbitration cases arising out of it are still with us,

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Customers Win Three Large COVID-era Awards
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This analysis of three large COVID-era Awards in favor of customers is provided by Harry Jacobowitz, Esq. He can be reached at harryjacobowitz@optimum.net.

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Are We Seeing the Start of a Tectonic Shift on Mandatory PDAAs in the Financial Services Field?
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By George H. Friedman, SAA Publisher & Editor-in-Chief

This is less a letter from the editor and more your editor’s musings, but I wonder whether we are seeing the start of a tectonic shift on mandatory predispute arbitration agreements (“PDAA”) in the financial services field?

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