FINRA Stats, 6/19: First Half Results Steady; ODR Adds New Feature to its Monthly Report
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At the half-year mark, FINRA’s Office of Dispute Resolution is on track to receive about 3,600 case filings for 2019. With 1,799 new case submissions through June,

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Award Survey: 2001-18 Clearing Broker-Dealer Liability
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Broker-dealers who engage with customers as “introducing broker-dealers” don’t perform the “back office” tasks needed to clear and settle transactions. Rather, they rely on specialized clearing broker-dealers to perform those functions for the introducing BDs,

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The Neutral Corner 2-2019:  FINRA-ODR Updates Arbitrators and Mediators on the Authority’s Latest Activities
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The Neutral Corner, the FINRA Office of Dispute Resolution’s newsletter for neutrals serving its dispute resolution forum, issues now on a quarterly basis;

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FINRA Stats, 3/19: March Case Filings Continue Weak, Leading to a Quarterly YOY Decline of 28%
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New case submissions by customers are down 29% from the first quarter’s tally for 2018 and industry cases have declined 27%. Overall, 830 new cases were filed in the first quarter;

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FINRA Stats, 1/19: The New Year at FINRA-DR Begins with Some Puzzling Twists
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There are some big differences between the way 2018 began at FINRA-ODR and the trends revealed in the recently posted January 2019 statistics.

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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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