By George H. Friedman, SAA Publisher & Editor-in-Chief
The arbitration underlying a suit challenging a FINRA Panel’s authority to hold a virtual hearing over a broker’s objection has been awarded.
By George H. Friedman, SAA Publisher & Editor-in-Chief
For the second time in the past few months, SEC Chair Gensler was asked to articulate his views on mandatory securities arbitration,
By George H. Friedman, SAA Publisher & Editor-in-Chief
Independence Day 2021 will be ushered in with a bang for FINRA Dispute Resolution Services (“DRS”) constituents yearning for a return to in-person arbitration and mediation hearings.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA has issued a Regulatory Notice reminding industry parties on the proper use of predispute arbitration agreements (“PDAA”) in customer account agreements.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The COVID-19 pandemic hit all Americans in many ways, and the legal and alternative dispute resolution systems were no exceptions.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) posted case statistics through March with the overall case filing decline unchanged from February,