FINRA Goes Back to the Drawing Board on Expungement Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

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SEC’s Gensler Again Grilled on Mandatory Arbitration
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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,

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Memories of Margin: An Industry Veteran Reminisces  
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Our lead Squib in SAA 2021-13 (Apr. 15) reported that margin debt in February grew to a record $814 billion – up dramatically from a year ago – and examined what this might portend for securities arbitration.

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Margin Debt Hits An All-time High of $814 Billion. Any Arbitration Implications?
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Margin debt in February grew to $814 billion, up dramatically from a year ago.

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The Elections are (Finally!) Over: What’s in Store for the Arbitration and the Financial Services Worlds?
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By George H. Friedman*

At long last the 2020 elections are behind us [bipartisan cheer], and the Democrats have taken over the White House,

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NY Trial Court: Objecting to FINRA Jurisdiction but Participating in Arbitration Not Enough to Vacate Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

A financial adviser who noted his continued objections to FINRA Dispute Resolution Services’ (“DRS”) jurisdiction but otherwise participated in the arbitration cannot later challenge the Award under New York’s arbitration statute.

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