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,
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,
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Margin debt in February grew to $814 billion, up dramatically from a year ago.
By George H. Friedman*
At long last the 2020 elections are behind us [bipartisan cheer], and the Democrats have taken over the White House,
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.