FINRA Arbitration Panel Composition – Regulatory Notice 11-05

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On February 1, 2011, FINRA amended the Code of Arbitration Procedure for Customer Disputes to allow customers with claims in excess of $100,000 to have two options for panel composition, either: (i) majority-public panel with two public and one non-public arbitrator or (ii) optional all public panel with all public arbitrators.  For further information, including full text of the notice and the amended and consolidated rules associated, please see FINRA’s website.

The California-based law firm of Evans & Kob PC represents representatives, firms and supervisors before all regulatory agencies, including FINRA arbitration. Please contact our law firm at info@eklawpc.com to discuss with one of our lawyers about representation and our arbitration and litigation practice. Expertise and experience matter and help to provide the best possible outcome.

Link: Arbitration and Litigation

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FINRA Proposes Rules on Debt Research Reports – Regulatory Notice 11-11 ( 15 Mar,2011 )