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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

February 12, 2022

http://www.brokeandbroker.com/6280/finra-gross-expungement/
Another day and another court is forced to ponder an imponderable FINRA Arbitration Award. In today's installment, a federal court read the record of the denial of an expungement claim but can't discern "any basis on which the FINRA panel could have rested its decision." Not a glowing endorsement of FINRA's mandatory arbitration protocol. And as our publisher Bill Singer angrily notes, not a glowing endorsement of FINRA's lackluster and apparently lackadaisical Board of Governors. At what point does even one FINRA Governor stand up for fairness and due process? 

http://www.brokeandbroker.com/6278/finra-rifkind-arbitration/
The nice thing about saying nothing is that it makes it difficult to put words in your mouth. All of which may be a commendable way to keep the peace. When it comes to judge's ruling on matters of fact and law, biting one's tongue fails to develop a useful record on appeal. A decision is supposed to resolve the dispute, not leave the allegations suspended in the air and open to further interpretation. A recent FINRA customer arbitration shows what happens when arbitrators take "summary" too literally.

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