FINRA DRS Postpones In-Person Hearings through Beginning of April
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FINRA’s Office of Dispute Resolution Services (“DRS”) has again administratively postponed all in-person arbitration and mediation hearings.

The January 5 announcement now includes hearings through April 2;

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NY Trial Court: Objecting to FINRA Jurisdiction but Participating in Arbitration Not Enough to Vacate Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

A financial adviser who noted his continued objections to FINRA Dispute Resolution Services’ (“DRS”) jurisdiction but otherwise participated in the arbitration cannot later challenge the Award under New York’s arbitration statute.

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FINRA DRS Posts Stats Thru October: Some Reversions to Mean and Some Theories Validated
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through October, with most numbers returning to near-normal during this abnormal year.

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FINRA DRS Posts Stats Thru Third Quarter: Still No “COVID Crash” Surge in Customer Arbitration Claims, But Industry New Case Filings have for the First Time (We Think) Eclipsed Customer Claims
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through September, with some surprising trends.

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Based on a Very Limited Sampling, the Jury is Out on Judge Coney Barrett’s Arbitration Views, Although She Seems to Lean Pro-arbitration. And She Appears to Like FINRA Dispute Resolution
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By George H. Friedman, SAA Publisher and Editor-in-Chief

As expected, President Trump on September 26 nominated Judge Amy Coney Barrett of the Seventh Circuit to fill the open seat at the Supreme Court resulting from the passing of Justice Ruth Bader Ginsburg.

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Practical Tips and Techniques to Succeed in Virtual Mediation: Zooming Ahead!  
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                                                     By Ellen Slipp*

Author’s note: This article was originally written for the Practising Law Institute (“PLI”) seminar “Securities Arbitration 2020” which was held on September 10,

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