Tag: FINRA

Alleging Arbitrator Bias, Oppenheimer Moves to Vacate FINRA Panel’s $36+ Million Award author.

Alleging Arbitrator Bias, Oppenheimer Moves to Vacate FINRA Panel’s $36+ Million Award

This article was first published on the Securities Arbitration Alert blog, here. Oppenheimer has moved to vacate a massive Award...

By George Friedman
Arbitration of Investor Claims in An Industry-Sponsored Forum – A Look Back at 20 Years of Lessons author.

Arbitration of Investor Claims in An Industry-Sponsored Forum – A Look Back at 20 Years of Lessons

This 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. Edmiston
SCOTUS Declines to Review Case Involving FINRA Award author.

SCOTUS Declines to Review Case Involving FINRA Award

This article was first published on the Securities Arbitration Alert blog. here. The Supreme Court on October 31 denied Certiorari in Caputo v....

By George Friedman
California AB-51 Update: Ninth Circuit Panel Declares A “Do-Over” author.

California AB-51 Update: Ninth Circuit Panel Declares A “Do-Over”

This article first appeared on the Securities Arbitration Alert Blog, here. The split Ninth Circuit Panel that had ruled a...

By George Friedman
FINRA DRS Posts Stats Through June: Customer and Industry Arbitration Claims Are Down at the Half-way Mark. Mediation Filings Are Still Strong But Are Slowing Down author.

FINRA DRS Posts Stats Through June: Customer and Industry Arbitration Claims Are Down at the Half-way Mark. Mediation Filings Are Still Strong But Are Slowing Down

This article first appeared on the Securities Arbitration Alert Blog, here. FINRA Dispute Resolution Services (“DRS”) has posted case statistics...

By George Friedman
Distinguishing Discovery Procedures in Commercial Arbitration:  A Comparative Analysis of AAA and FINRA Rules author.

Distinguishing Discovery Procedures in Commercial Arbitration: A Comparative Analysis of AAA and FINRA Rules

This article first appeared in Securities Arbitration Alert, here. Introduction In civil litigation, discovery is the process by which parties...

By Ksenia Matthews
Are We Seeing the Start of a Tectonic Shift on Mandatory PDAAs in the Financial Services Field? author.

Are We Seeing the Start of a Tectonic Shift on Mandatory PDAAs in the Financial Services Field?

This article first appeared on Securities Arbitration Alert (SAA), here. This is less a letter from the editor and more...

By George Friedman
Remember the FINRA Case Where the Broker Challenged a Zoom Hearing Ordered Over His Objection? It’s Been Awarded author.

Remember the FINRA Case Where the Broker Challenged a Zoom Hearing Ordered Over His Objection? It’s Been Awarded

This article first appeared on Securities Arbitration Alert (SAA), here. The arbitration underlying a suit challenging a FINRA Panel’s authority to...

By George Friedman
FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements author.

FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements

This article first appeared on the Securites Arbitration Alert (SAA) Blog here. FINRA has issued a Regulatory Notice reminding industry...

By George Friedman
COVID-19’s Continued Impact on ADR Providers: The Key Institutions Update Us on Plans for the Future author.

COVID-19’s Continued Impact on ADR Providers: The Key Institutions Update Us on Plans for the Future

This article first appeared on the Securities Arbitration Alert (SAA) Blog here. The COVID-19 pandemic hit all Americans in many...

By George Friedman
Margin Debt Hits An All-time High of $814 Million. Any Arbitration Implications? author.

Margin Debt Hits An All-time High of $814 Million. Any Arbitration Implications?

This article first appeared on the Securities Arbitration Alert (SAA) blog, here. Margin debt in February grew to $814 million,...

By George Friedman
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 Posts Dispute Resolution Stats Through February: A Decent Month After a Rough Start to the Year author.

FINRA Posts Dispute Resolution Stats Through February: A Decent Month After a Rough Start to the Year

This article first appeared on the Securities Arbitration Alert (SAA) Blog, here. FINRA Dispute Resolution Services (“DRS”) posted case statistics through February...

By George Friedman
FINRA DRS Postpones In-Person Hearings through April. Are Virtual Hearings Driving Down Customer Recoveries? These Researchers Say “Yes” author.

FINRA DRS Postpones In-Person Hearings through April. Are Virtual Hearings Driving Down Customer Recoveries? These Researchers Say “Yes”

This article first appeared on the Securities Arbitration Alert ('SAA') blog, here. FINRA’s Office of Dispute Resolution Services (“DRS”) has...

By George Friedman
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
The Elections are (Finally!) Over: What’s in Store for the Arbitration and the Financial Services Worlds author.

The Elections are (Finally!) Over: What’s in Store for the Arbitration and the Financial Services Worlds

This article first appeared on the Securities Arbitration Alert (SAA) blog, here. At long last the 2020 elections are behind...

By George Friedman
Whatever Happened to Monster Energy on Remand to JAMS? author.

Whatever Happened to Monster Energy on Remand to JAMS?

This article first appeared in the Securities Arbitration Alert (SAA) Blog, here. A party is challenging JAMS’ neutrality as an...

By George Friedman
FINRA DRS Postpones In-Person Hearings through Beginning of April author.

FINRA DRS Postpones In-Person Hearings through Beginning of April

This article was first published on the Securities Arbitration Alert (SAA),here. FINRA’s Office of Dispute Resolution Services (“DRS”) has again...

By George Friedman
Arbitration Conversation No. 41: George Friedman, Editor-in-Chief of Securities Arbitration Alert author.

Arbitration Conversation No. 41: George Friedman, Editor-in-Chief of Securities Arbitration Alert

In 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

Featured Arbitrators

The Arbitration Conversation Podcast
Arbitration Tips and Tools

Find an Arbitrator

X
X
X