It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
on

By George H. Friedman, SAA Editor-in-Chief

FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.

...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

Warren to FINRA: What’s Happening on Expungement Changes?
on

Senator Elizabeth Warren has written to FINRA inquiring about the status of Board-approved changes on expungement.

We reported in SAA 2018-48 (Dec.

...Read More

A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
on

By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

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

...Read More

A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part I
on

By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

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

...Read More

FINRA Board Approves Two Arbitration Rulemaking Items
on

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.

...Read More

Read Our Recent Blog