By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC has approved FINRA’s rule change proposal to implement recommendations resulting from the outside investigation of allegations that the arbitrator selection process was rigged.
By Harry A. Jacobowitz, Esq.*
A registered representative won a big award of monetary damages against his former employer from a majority of a three-member arbitration panel,
By George H. Friedman, SAA Publisher and Editor-in-Chief*
Just ahead of a late June deadline, the SEC submitted a staff report to the Congress on investment adviser arbitration.
By George H. Friedman, SAA Publisher & Editor-in-Chief
A firm’s experience in enforcing a FINRA Award underscores the need to comply with the FAA’s technical requirements for award confirmation.
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.
By Harry A. Jacobowitz, Esq.
A panel of three arbitrators rejects a unilateral request for an explained Award under Rule 12904(g) of the FINRA Customer Code of Arbitration Procedure (“Code”),