By Ellen Slipp*
Author’s note: This article was originally written for the Practising Law Institute (“PLI”) seminar “Securities Arbitration 2020” which was held on September 10,
Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,
FINRA’s Office of Dispute Resolution Services (“DRS”) has again administratively postponed all in-person arbitration and mediation hearings but has posted guidance on its plans to resume in-person hearings.
FINRA Dispute Resolution Services (“FINRA-DRS” or “DRS”) posted cumulative caseload statistics through June. While there’s still no surge in Customer cases, Industry filings are way up.
By George H. Friedman, SAA Editor-in-Chief
Two new Awards have been posted in FINRA’s Arbitration Awards Online that show hearings conducted virtually due to the COVID-19 pandemic.
We always welcome letters to the editor commenting on current items of interest in the Alert. Here’s one from the editor, suggesting that the FINRA Code of Arbitration Procedure be amended to specifically authorize arbitrators to direct that hearings be held virtually.