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Coronavirus and the ADR Providers – What You Need to Know
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We issue this “Extra” Alert with breaking news of importance to our readers concerning the Coronavirus pandemic and its impact on financial services dispute resolution,

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That Didn’t Take Very Long! First “Corona Crash” Arbitrations Seem To Already Be on the Way. And a Major Industry Event Is Cancelled
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By George H. Friedman, SAA Editor-in-Chief

The first Coronavirus-related arbitrations may be on the way, caused by a trading platform’s alleged crash as the market was bouncing back in a record way.

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What’s Past is Prologue – All Over Again. What’s Ahead for Arbitration Filings in the Wake of Recent Volatility
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By George H. Friedman, SAA Editor-in-Chief and Richard P. Ryder, SAC Founder and President

The crashing and rebounding capital markets in the wake of the worldwide Coronavirus outbreak causes the Alert’s George H.

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FINRA Stats, 12/19: Another Slow Year at FINRA-ODR, in Terms of New Filings
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Take the final tally of 3,757 new case submissions that FINRA Office of Dispute Resolution recorded during the past year, deduct the reported total of some 500 cases for the month of August,

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NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
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Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,

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Very Few Comments on FINRA’s Proposed Inactive Industry Party Arbitration Rule
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By George H. Friedman, SAA Editor-in-Chief

The comment period closed December 13 on FINRA’s proposed rule to expand a customer’s arbitration options when firms or APs become inactive,

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