A Few Minutes with New PIABA President Hugh Berkson
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported in SAA 2022-42 (Nov. 10) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 27 Press Release that Hugh D.

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Arbitration of Investor Claims in an Industry-Sponsored Forum – A Look Back at 20 Years of Lessons
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By Courtney Werning, Dave Neuman, Jorge Riera, and Michael Edmiston[1]

Introduction

Industry-sponsored arbitration has long been the only option for investors who have claims against their financial advisors and brokerage firms.

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FINRA DRS Posts Stats Through 3Q: Customer and Industry Arbitration Claims Have Definitely Stabilized. Mediation Filings Are Still Up, But Continue to Slow Down
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through September, with recent trends persisting.

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First Monday in October: Some Arbitration-Centric Cases Worth Following
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The Supreme Court was back in session on October 3. Here are some arbitration-centric cases worth knowing about,

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More on Amended AAA Commercial Rules
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Just as we were putting SAA 2022-33 (Sep. 1) to bed came word that the AAA had revised its Commercial Arbitration Rules and Mediation Procedures,

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FINRA Files with SEC Board-Approved Changes to Expungement Rules
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA staff this week followed up on recent Board approval to file a new expungement rule.

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