by Marvin Schuldiner | Feb 1, 2011 | Arbitration
I’ve written previously about the Financial Regulatory Authority (FINRA) proposals for allowing consumer complainants in arbitrations to use all public arbitration panels. Non-public (or industry) panel members are those who work within the financial services...
by Marvin Schuldiner | Sep 30, 2010 | Arbitration
Over two years ago, I wrote about a pilot program FINRA established to test all-public arbitration panels. FINRA, the financial industry’s regulatory arm, will be submitting to the Securities and Exchange Commission a rule change proposal next month to make...
by Marvin Schuldiner | Feb 2, 2010 | Arbitration
Filings for arbitration at the Financial Industry Regulatory Authority (FINRA), the self-regulation body of Wall Street, are up 43% in 2009 over the previous year. Nearly all brokerage agreement specify FINRA arbitration as the only way to resolve a dispute between a...
by Marvin Schuldiner | Aug 1, 2008 | Arbitration
FINRA is the financial industry’s self-regulatory arm. Part of what they do is manage arbitrations for broker-client and broker-employee disputes. Nearly all brokerage agreements and broker employment agreements contain a clause mandating aribtration rather...
