By Christian Mercado*
Introduction
The securities industry is an example of one attempting to mitigate equity concerns surrounding arbitration agreements contained in contracts of adhesion.
SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,
A Strategic Overview of FINRA Arbitration: Three I’s of Growth
Investment Advisers, Institutional Customers, and International Investors
By Richard P.
By George H. Friedman, SAA Editor-in-Chief
After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.
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.
By George H. Friedman, SAA Editor-in-Chief
The Southern District of Florida confirms an Award containing $3 million for discovery abuse, finding that two Arbitrators’ non-disclosure would not cause a reasonable person to doubt their impartiality.