Post Image
FINRA Responds to Comments on Proposal To Merge FINRA-DR into FINRA Regulation
on

This proposal (SR-FINRA-2015-034), first filed on September 15 (see SAA 2015-35), has taken an interesting procedural path – one that now appears to be moving to a close.

...Read More

Post Image
FINRA Reacts To PIABA Criticism of Efforts To Corral Expungement Grants by Arbitrators
on

We learned this week that FINRA had a lot to say about the most recent statistical study on expungement performed by the Public Investor Arbitration Bar Association.

...Read More

Post Image
PIABA’s Updated Expungement Study
on

The Public Investor Arbitration Bar Association (PIABA) rolled out a follow-up to its influential 2013 study of expungements in stipulated Awards in a press teleconference on Monday,

...Read More

Post Image
SAC Awards Mini-Survey – 2014 Customer-Member Expungements
on

Starting in the fall of 2013, concerned that arbitrators were “rubber stamping” stipulated expungements, FINRA encouraged its arbitrators to examine expungement requests in general,

...Read More

Post Image
FINRA Rule Changes Approved in 2013
on

So many changes were being made to the Arbitration (and Mediation) Codes by FINRA Dispute Resolution, at one time it was hard to keep up.

...Read More

Read Our Recent Blog