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Our Promised Elaboration on the FINRA DRS 1Q Stats

This article first appeared on the Securities Arbitration Alert Blog, here. FINRA Dispute Resolution Services (“DRS”) posted case statistics through March, with the overall case filing trends – with one exception –...

By George Friedman
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Mandatory Arbitration in Investment Disputes? Registered Investment Advisers Get to Decide…

Most investors do not understand the difference between two types of financial advisors who they often rely on for investment advice. These are Registered Investment Advisers (“RIAs”) and broker-dealers.  A...

By Brittany Munn
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Canada – Narrow Basis For Excess Jurisdiction Set Aside Challenges Reaffirmed

This article was first published in the Arbitration Matters Blog, here. In Mensula Bancorp Inc. v. Halton Condominium Corporation No. 137, 2022 ONCA 769, the Ontario Court of Appeal overturned a Superior...

By Jonathan Eades

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