SEC Approves FINRA Rulemaking Proposal to Protect Against At-Risk Firms and Unpaid Arbitration Awards
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.

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Thought the Stanford Ponzi Scheme Cases were Done?  Read on…  
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The Stanford Ponzi scheme was discovered in early 2009. Arbitration cases arising out of it are still with us,

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Back-to-the-Office: The Key ADR Institutions Update Us on their Plans
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By George H. Friedman, SAA Publisher & Editor-in-Chief

As more and more financial services firms announce their plans for returning staff to the workplace (see our coverage in SAA 2021-24 (Jun.

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Customers Win Three Large COVID-era Awards
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This analysis of three large COVID-era Awards in favor of customers is provided by Harry Jacobowitz, Esq. He can be reached at harryjacobowitz@optimum.net.

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***Breaking: FINRA to Resume In-person Hearings in 62 of 69 Hearing Locations Effective July 5
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Independence Day 2021 will be ushered in with a bang for FINRA Dispute Resolution Services (“DRS”) constituents yearning for a return to in-person arbitration and mediation hearings.

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FINRA DRS Posts Stats Through March: Customer Claims Come Roaring Back While Industry Claims Plummet  
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through March with the overall case filing decline unchanged from February,

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