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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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The Other Shoe Drops: “Investor Choice Act” Finally Reintroduced in House and Senate. Would Amend 1934 Act and Investment Advisers Act of 1940 To Ban Mandatory Predispute Arbitration Agreements in Customer and Shareholder Relationships
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By George H. Friedman, SAA Editor-in-Chief

It took a while, but joining the slew of anti-arbitration bills pending in Congress is the Investor Choice Act,

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Explained Award: Broker Wins $3 Million Award on Breach of Contract Charges against Former Employer
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We like this Award for a number of reasons, one of which is an Arbitrator dissent that draws a rebuttal from the majority. That dissent was filed by a Public Arbitrator,

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