By Harry A. Jacobowitz, Esq.*
A registered representative won a big award of monetary damages against his former employer from a majority of a three-member arbitration panel,
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.
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.
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”),
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,