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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Back on the Front Burner for NASAA: New Legislative Agenda Has a Heavy Emphasis on Arbitration
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NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.

The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;

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Connections: Wandering through BrokerCheck Looking for Links to Arbitration Awards
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BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.

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Peek-Behind Award: Finn v. Credit Suisse Securities (USA) — Compensation Deferred or Denied?
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PEEK-BEHIND AWARD: FINN v. CREDIT SUISSE SECURITIES (USA) — COMPENSATION DEFERRED OR DENIED?

We hear there are dozens of these cases against CSS for unpaid deferred compensation.

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FINRA Releases 2019 Regulatory and Exam Priorities. Focus Is On Emerging Areas. Arbitration Again Not on the List.
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FINRA announced its 2019 regulatory and exam priorities in a Cover Letter to member firms that included a link to a newly-named seven-page Risk Monitoring and Examination Priorities Letter addressed to the securities industry.

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Latest Neutral Corner from FINRA’s Office of Dispute Resolution Hits the Electronic Newsstand. Lead Article Describes Tips for Effective Mediation
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FINRA’s Office of Dispute Resolution (“ODR”) has once again posted the latest issue of its newsletter for arbitrators and mediators, The Neutral Corner (“TNC”),

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