By Courtney Werning, Dave Neuman, Jorge Riera, and Michael Edmiston
Industry-sponsored arbitration has long been the only option for investors who have claims against their financial advisors and brokerage firms.
By Rick Ryder, SAC
Yes, in answer to the title’s question, and the prospect for that to happen has been revived by a FINRA staff initiative,
The key recommendations of FINRA’s Dispute Resolution Task Force (“Task Force”), and where things may be headed in reaction to those proposals, were the core topics discussed recently by an experienced panel of securities arbitration experts in the fourth SAC Podcast.