FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm
on

Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

...Read More

Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
on

At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

...Read More

FINRA Stats, 7/19: Customer Claims on a Slow Rise from Earlier Months of 2019
on

Here’s the difference we’re seeing: back in January of this year, FINRA’s Office of Dispute Resolution reported in its monthly statistical disclosures that 336 cases had been filed,

...Read More

Explained Award: Denied Expungement Reveals Useful Tip About Making Expungement Requests
on

Explained Awards — those that contain the Arbitrator’s reasons for granting or denying the relief requested — are available to parties under FINRA Rules 12904(g) and 13904(g),

...Read More

FINRA Stats, 6/19: First Half Results Steady; ODR Adds New Feature to its Monthly Report
on

At the half-year mark, FINRA’s Office of Dispute Resolution is on track to receive about 3,600 case filings for 2019. With 1,799 new case submissions through June,

...Read More

Award Survey: 2001-18 Clearing Broker-Dealer Liability
on

Broker-dealers who engage with customers as “introducing broker-dealers” don’t perform the “back office” tasks needed to clear and settle transactions. Rather, they rely on specialized clearing broker-dealers to perform those functions for the introducing BDs,

...Read More

Read Our Recent Blog