Connections: Wandering through BrokerCheck Looking for Links to Arbitration Awards
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BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.

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Peek-Behind Award: Finn v. Credit Suisse Securities (USA) — Compensation Deferred or Denied?
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PEEK-BEHIND AWARD: FINN v. CREDIT SUISSE SECURITIES (USA) — COMPENSATION DEFERRED OR DENIED?

We hear there are dozens of these cases against CSS for unpaid deferred compensation.

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FINRA Releases 2019 Regulatory and Exam Priorities. Focus Is On Emerging Areas. Arbitration Again Not on the List.
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FINRA announced its 2019 regulatory and exam priorities in a Cover Letter to member firms that included a link to a newly-named seven-page Risk Monitoring and Examination Priorities Letter addressed to the securities industry.

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A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Toward the end of last year, I authored a blog post,

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FINRA Board Approves Two Arbitration Rulemaking Items
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FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.

We reported in SAA 2018-47 (Dec.

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FINRA Board Meets This Week; Two Arbitration Rulemaking Items on the Agenda
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FINRA’s Board of Governors was scheduled to meet December 12-13 and consider two arbitration-related proposals according to the posted meeting Agenda.

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