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.
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,
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),
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,
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,