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.
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) has posted case statistics through September, with recent trends persisting.
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,
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,
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.