Tag: FINRA Code of Arbitration

Prehearing Issues Raised by Virtual Hearings of FINRA Arbitrations author.

Prehearing Issues Raised by Virtual Hearings of FINRA Arbitrations

The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic....

By Joel Everest, Josh Jones
FINRA Year-end Stats 2020: Average in Some Respects; in Other Ways, a Most Uncommon, Even Unique, Year author.

FINRA Year-end Stats 2020: Average in Some Respects; in Other Ways, a Most Uncommon, Even Unique, Year

This article first appeared on the Securities Arbitration Alert (SAA) blog, here. This review of the latest FINRA dispute resolution...

By George Friedman

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