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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“FINRA Listens … and Speaks,” an Evening Forum on FINRA Arbitration Hosted by NY County Lawyers Association, Took Place Feb. 12: Here’s Our Roundup
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This annual program, now in its 20th year, runs only a couple of hours, but it has a perspective that’s unique and often helpful in uncovering useful practice tips.

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How Long Does It Take Post-Award To Get Expungement Relief? A Sampling of Cases.
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Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.

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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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A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Toward the end of last year, I authored a blog post,

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FINRA Board Approves Two Arbitration Rulemaking Items
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FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.

We reported in SAA 2018-47 (Dec.

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