Just in Time for Halloween, DOL Fiduciary Rule May Return from the Dead
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Just when we thought the Department of Labor’s (“DOL”) Fiduciary Standard Rule was officially dead, comes word that the Department may be taking another run at a Rule.

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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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Award Survey: Top BDs of 2017 – Part I
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In this two-part survey, the latest in our series on 2017 Awards, we focus on the broker-dealers (BDs) with the largest number of Awards issued that year;

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Discovery Violations in FINRA Arbitration Draw Heavy Sanctions Against Oppenheimer
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In a News Release issued by FINRA on November 17, the Authority displayed its defense of the integrity of the FINRA arbitration process by dint of sanctions totaling $3.4 million against broker-dealer Oppenheimer &

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Explained Award Favors Customer in Flubbed Order Execution: Martin v. Wells Fargo Advisors LLC
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Martin v. Wells Fargo Advisors LLC, FINRA ID #14-02593 (Atlanta, GA, 12/16/15).

It’s been our observation that Explained Awards in customer-initiated cases occur primarily when the customer loses.

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President Obama Announces Two Nominees for SEC Commissioner Slots. May Not Be Good News for FINRA or Arbitration
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President Obama on October 20th announced his intention to submit Democrat Lisa M. Fairfax and Republican Hester Peirce as nominees to serve as SEC Commissioners.

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