We like this Award for a number of reasons, one of which is an Arbitrator dissent that draws a rebuttal from the majority. That dissent was filed by a Public Arbitrator,
FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,
Note cases are pretty common these days, but broker-dealers pursuing and winning on indemnification claims against brokers are not so common. This case has both,
Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?