Explained Award Features Settlement and Hearing, Dismissal of Claims and Expungement Dissent
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For this case to unravel the way it did required that the Claimants pursue both the brokers and the firm as Respondents. That’s not terribly common in FINRA arbitration,

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Metropolitan Life Ins. Co. v. Bucsek
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By Jill I. Gross

*Court decides issue of arbitrability if there is not sufficient evidence that parties clearly and unmistakably agreed to arbitrate the question of arbitrability.

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Bae v. Park
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By Ben Suter

The Court finds that the defendant failed to demonstrate that the plaintiffs procured an arbitration award by corruption,

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FINRA Issues Regulatory Notice Seeking Comments on Rule Changes To Protect Against At-Risk Firms. Unpaid Arbitration Awards Definitely a Focus!
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FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.

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FINRA Stats, 3/19: March Case Filings Continue Weak, Leading to a Quarterly YOY Decline of 28%
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New case submissions by customers are down 29% from the first quarter’s tally for 2018 and industry cases have declined 27%. Overall, 830 new cases were filed in the first quarter;

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Morse v. Fisher Asset Management, LLC
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By David C. Franceski, Jr.

*The filing of an action later dismissed on preliminary objections in favor of arbitration does not toll applicable statutes of limitation beyond the date of dismissal.

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