SAC Contributing Legal Editor and Board of Editors Member and Chairman of the Board – Arbitration Resolution Services
[This is adapted from a post originally published in the author’s blog at Arbitration Resolution Services (ARS).
FINRA staff acted within authority granted by the Code of Arbitration Procedure when they declined to extend the date for returning arbitrator rankings. And,
First, let’s make the topic real. Just last month, the SEC posted a petition for rulemaking that suggests the Commission take steps to improve the FINRA arbitration process,
There was breaking news July 22 at the Annual Meeting of the Securities Experts Roundtable, with FINRA Office of Dispute Resolution Director Richard Berry announcing that the Authority had issued a Regulatory Notice protecting customers’ and associated persons’ right to access its forum.
The annual half-day program on securities arbitration and mediation, sponsored by the Association of the Bar of the City of New York, took place earlier this year.