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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Award Survey: Top BDs of 2017 – Part II: Use of Counsel
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In SAA 2018-24, we identified the four broker-dealers (BDs) with the largest presence in securities arbitration, with special emphasis on their Customer-Member Awards. This week,

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Analysis of Comments on FINRA ODR Reg Notice 17-34 on Non-Attorney Reps
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The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice seeking comments on non-attorney representatives (“NAR”). With about 60 comments filed,

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Mini-Survey: Top BDs of 2016 – Part II
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Last week, we identified and began surveying the 2016 Award records of the five broker-dealers (BDs) with the largest number of Awards that year,

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Discussion Topic: Just How Likely Are Contingency Fee Arrangements For Investors Who Litigate?
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After reading George Friedman’s article in the July edition of the SAC print newsletter (“The Camel and the Last Straw or the Frog and the Boiling Water: Pick Your Parable”),

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