Severely restricting the ability to dismiss frivolous claims may force respondents into early settlement and mediation — a more cost-effective alternative to arbitration. However, the ...
Ethan A. Brecher writes: The consequences to a Financial Industry Regulatory Authority registered representative for not paying an adverse arbitration award can be career-threatening, yet non-payment ...
J.P. Morgan Securities and one of its advisors are fighting to keep a trust dispute out of FINRA — with potential takeaways ...
The Securities Industry and Financial Markets Association has outlined a series of recommendations it says would improve the fairness and efficiency of the Financial Industry Regulatory Authority’s ...
A $100 million rebate from the Financial Industry Regulatory Authority to member firms is drawing sharp backlash from investor advocates, who say the move comes as tens of millions in arbitration ...
Arbitration and litigation are two ways to resolve legal disputes. Arbitration is a private process in which the parties present their cases to one or more arbitrators who make a final decision. It is ...
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