Most investors do not understand the difference between two types of financial advisors who they often rely on for investment...
By Brittany MunnThis article was first published on the Securities Arbitration Alert blog, here. For the second time in a few months,...
By George FriedmanThis article was first published on the Securities Arbitration Alert blog, here. Oppenheimer has moved to vacate a massive Award...
By George FriedmanThis article was first published on the Securities Arbitration Alert blog, here. Introduction Industry-sponsored arbitration has long been the only...
By Courtney M. Werning, David Neuman, Jorge L. Riera, Michael S. EdmistonThis article was first published on the Securities Arbitration Alert blog. here. The Supreme Court on October 31 denied Certiorari in Caputo v....
By George FriedmanThis article first appeared on the Securities Arbitration Alert Blog, here. The split Ninth Circuit Panel that had ruled a...
By George FriedmanThis article first appeared on the Securities Arbitration Alert Blog, here. FINRA Dispute Resolution Services (“DRS”) has posted case statistics...
By George FriedmanThis article first appeared in Securities Arbitration Alert, here. Introduction In civil litigation, discovery is the process by which parties...
By Ksenia MatthewsThis article first appeared on Securities Arbitration Alert (SAA), here. This is less a letter from the editor and more...
By George FriedmanThis article first appeared on Securities Arbitration Alert (SAA), here. The arbitration underlying a suit challenging a FINRA Panel’s authority to...
By George FriedmanThis article first appeared on the Securites Arbitration Alert (SAA) Blog here. FINRA has issued a Regulatory Notice reminding industry...
By George FriedmanThis article first appeared on the Securities Arbitration Alert (SAA) Blog here. The COVID-19 pandemic hit all Americans in many...
By George FriedmanThis article first appeared on the Securities Arbitration Alert (SAA) blog, here. Margin debt in February grew to $814 million,...
By George FriedmanThe Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic....
By Joel Everest, Josh JonesThis article first appeared on the Securities Arbitration Alert (SAA) Blog, here. FINRA Dispute Resolution Services (“DRS”) posted case statistics through February...
By George FriedmanThis article first appeared on the Securities Arbitration Alert ('SAA') blog, here. FINRA’s Office of Dispute Resolution Services (“DRS”) has...
By George FriedmanThis article first appeared on the Securities Arbitration Alert (SAA) blog, here. This review of the latest FINRA dispute resolution...
By George FriedmanThis article first appeared on the Securities Arbitration Alert (SAA) blog, here. At long last the 2020 elections are behind...
By George FriedmanThis article first appeared in the Securities Arbitration Alert (SAA) Blog, here. A party is challenging JAMS’ neutrality as an...
By George FriedmanThis article was first published on the Securities Arbitration Alert (SAA),here. FINRA’s Office of Dispute Resolution Services (“DRS”) has again...
By George FriedmanIn this episode of the Arbitration Conversation Amy interviews George H. Friedman, publisher and Editor-in-Chief of the Securities Arbitration Alert...
By George Friedman, Amy Schmitz