FINRA Stats, 10/19: Reading the “Stats” for a Clue to 2020
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FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,

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FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm Seas
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Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

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FINRA Stats, 7/19: Customer Claims on a Slow Rise from Earlier Months of 2019
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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,

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FINRA Stats, 6/19: First Half Results Steady; ODR Adds New Feature to its Monthly Report
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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,

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Award Survey: 2001-18 Clearing Broker-Dealer Liability
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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,

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CPR and CEDR Release Joint Report on Insights into ADR
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The International Institute for Conflict Prevention and Resolution (“CPR”) and the Centre for Effective Dispute Resolution (“CEDR”) on April 4 issued a joint Report: “Insights into Alternative Dispute Resolution.”

As described in an accompanying Press Release and Summary,

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