FINRA Panel Gives Lengthy Explanation of Why it Awards More Than $1 Million to Customer
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By Harry A. Jacobowitz, Esq.

The Award, Inlow v Barrows, FINRA ID No. 22-01360 (Los Angeles, CA, Oct. 30,

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FINRA’s Proposed Changes to Non-Attorney Rep Rule Published – Comments Due November 3
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA’s proposal to amend the non-attorney representation rules has been published in the Federal Register.

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FINRA DRS Posts Stats Through August. A Strong Year in Arbitration Filings Continues, But is Definitely Slowing Down a Bit
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through August, with trends continuing to show a comparatively strong year in arbitration filings – especially industry cases – and a continued drop-off in mediations.

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SEC Approves FINRA’S Rule Change Proposal Implementing “Rigged Panels” Investigation Report Recommendations
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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.

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FINRA Panel Awards Broker $2.5 Million and U5 Reformation Over Stinging Partial Dissent
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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,

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SEC Submits Staff Report to Congress on Investment Adviser Arbitration: Bombshells Galore
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 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.

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