Tag: FINRA Code

By David E. Robbins[1]

Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2]   This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”

...Read More

By George H. Friedman, SAA Publisher & Editor-in-Chief

By our reckoning, the SEC may be facing a looming late June deadline to report to Congress on investment adviser arbitration.

...Read More

By Harry A. Jacobowitz, Esq.

 A panel of three arbitrators rejects a unilateral request for an explained Award under Rule 12904(g) of the FINRA Customer Code of Arbitration Procedure (“Code”),

...Read More

By Richard P. Ryder, Esq.* 

We reported in SAA 2023-12 (Mar. 23) on a newly-released research paper that questions securities arbitration’s fairness and,

...Read More

By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has updated its neutral roster diversity statistics, showing impressive gains in most areas.

...Read More

SCOTUS Again Declines to Review Case Involving FINRA Award

By George H. Friedman, SAA Publisher & Editor-in-Chief

For the second time in a few months,

...Read More