In our monthly report on the February 2020 statistics FINRA Dispute Resolution Services* (FINRA-DRS) posted at the end of March (see SAA 2020-13), we noted that the case filing statistics were coming in,
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.
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,
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,
FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,
Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?