Contracts of Adhesion and Securities Arbitration: How FINRA Attempts to Mitigate Harm to Investors
on

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.

...Read More

Seminar Highlights: “FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond”
on

SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,

...Read More

A Strategic Overview of FINRA Arbitration: Three I’s of Growth – Investment Advisers, Institutional Customers, and International Investors
on

A Strategic Overview of FINRA Arbitration: Three I’s of Growth

Investment Advisers, Institutional Customers, and International Investors

By Richard P.

...Read More

FINRA Issues Reg Notice Setting September Effective Date for New Minimum Expungement Fees
on

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.

...Read More

Letter from the Editor: Change the Code to Support Virtual Hearings
on

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.

...Read More

District Court Follows “Reasonableness” Standard for Arbitrator Disclosure. Confirms Award of $3 Million in Sanctions for Discovery Abuse … and a Coronavirus Update
on

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.

...Read More