SEC Submits Staff Report to Congress on Investment Adviser Arbitration: Bombshells Galore
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 By George H. Friedman, SAA Publisher and Editor-in-Chief*

Just ahead of a late June deadline, the SEC submitted a staff report to the Congress on investment adviser arbitration.

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FINRA DRS Posts Stats Through May: A Very Strong Year in Arbitration Filings Continues
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through May, with recent trends continuing to show a very strong year in arbitration filings – especially industry cases – and a continued drop-off in mediations.

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FINRA DRS Posts Full-Year 2022 Stats. Customer and Industry Arbitration Claims Closed with a Flourish
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics for full-year 2022,

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A Few Minutes with New PIABA President Hugh Berkson
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported in SAA 2022-42 (Nov. 10) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 27 Press Release that Hugh D.

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FINRA DRS Posts Stats Through 3Q: Customer and Industry Arbitration Claims Have Definitely Stabilized. Mediation Filings Are Still Up, But Continue to Slow Down
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through September, with recent trends persisting.

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FINRA DRS Posts Stats Through June: Customer and Industry Arbitration Claims Are Down at the Half-way Mark. Mediation Filings Are Still Strong, But Are Slowing Down
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through June, with most trends persisting.

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