Finra, the brokerage industry’s self-regulator, is taking another look at its arbitration process, a dispute-resolution system that has come under fire from investor advocates and industry groups ...

On January 8, 2026, Financial Industry Regulatory Authority (FINRA) issued a letter in Estate of Lovejoy Duryea and Ella Duryea Trust v. Stifel, Nicolaus & Co., Inc. (FINRA Arbitration No. 25‑02274) ...

Public-interest lawyers are loudly objecting to new guidelines intended to raise the professional caliber of arbitrators hired to mediate disputes between brokers and investors. Finra, the brokerage ...

In SR-FINRA-2024-022 (Proposed Rule Change to Amend the Codes of Arbitration Procedure to Make Clarifying, Technical and Procedural Changes to the Arbitrator List Selection Process), FINRA DRS sought ...

Investor advocates are up in arms about a FINRA rule change they contend could prevent aggrieved brokerage clients from getting a fair hearing before their peers. Processing Content The Financial ...

The professional bar association for investor attorneys is accusing the Financial Industry Regulatory Authority (Finra) of increasing professional requirements for arbitrators without public notice or ...

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 ...

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Attorneys representing investors in arbitrations want FINRA to rethink allowing brokerage firms to request arbitrators be removed from cases solely on the basis that they’ve previously arbitrated ...

A group of attorneys representing investors is leveling criticism at the Financial Industry Regulatory Authority’s arbitration system, accusing the self-regulatory agency of allowing its member ...