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What’s Past is Prologue – All Over Again. What’s Ahead for Arbitration Filings in the Wake of Recent Volatility
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By George H. Friedman, SAA Editor-in-Chief and Richard P. Ryder, SAC Founder and President

The crashing and rebounding capital markets in the wake of the worldwide Coronavirus outbreak causes the Alert’s George H.

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FINRA Stats, 12/19: Another Slow Year at FINRA-ODR, in Terms of New Filings
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Take the final tally of 3,757 new case submissions that FINRA Office of Dispute Resolution recorded during the past year, deduct the reported total of some 500 cases for the month of August,

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NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
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Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,

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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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