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More on FINRA’s Report on Unpaid Customer Awards. Sen. Warren Introduces Bill To Compel Implementation of One of the Ideas; PIABA Agrees
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We continue here our analysis of FINRA’s recently-published Report, FINRA Perspectives on Customer Recovery, and share news that a Bill has been introduced in the Senate to require FINRA to implement one of the Report’s proposals.

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Analysis of (the Few) Comments on FINRA ODR Reg Notice 17-33 on Unpaid Awards
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The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice on expungement. All commenters generally support the proposed changes,

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More on FINRA’s Reg Notice on Unpaid Awards
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Just as SAA 2017-39 went to press, we learned that FINRA on October 18th issued Regulatory Notice 17-33, Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person is or Becomes Inactive.

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Securities Arbitration 2017 Seminar Offers a Bevy of Tips for FINRA Arbitration Practitioners
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The seminar, held at the Practising Law Institute in Manhattan on Wednesday, Sept. 27, from 9 a.m. to 5 p.m., included six segments,

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