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Arbitration and Mediation News Releases

September 18, 2008

FINRA Announces Agreements in Principle with Five Firms to Settle Auction Rate Securities Violations
August 7, 2008

FINRA Creates Process for Arbitrations Involving Auction Rate Securities
July 24, 2008

FINRA to Launch Pilot Program to Evaluate All-Public Arbitration Panels
April 24, 2008

FINRA Proposes Rule Change to Require Reporting of Customer Allegations of Sales Practice Violations Against Brokers in All Arbitrations, Civil Lawsuits - Even When Broker Is Not an Official Party to the Dispute
December 14, 2007

FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
September 27, 2007

Morgan Stanley to Pay $12.5 Million to Resolve FINRA Charges that it Failed to Provide Documents to Arbitration Claimants, Regulators
September 26, 2007

FINRA Board Approves Rule to Limit Motions to Dismiss in Arbitrations
September 17, 2007

FINRA Mediation Prices Reduced During "Settlement Month" in October
January 24, 2007

SEC Approves New NASD Code of Arbitration Procedure
January 8, 2007

NASD Unveils Free Arbitration Awards Online Database; Award Searches Now Faster and Easier
December 19, 2006

NASD Charges Morgan Stanley DW with Repeatedly Failing to Provide Emails to Arbitration Claimants and Regulators
September 18, 2006

NASD DR Mediation Prices Reduced During 'Settlement Month' in October
May 4, 2006

NASD Changes the Code of Arbitration Procedure, Enhances Online Training Program For Arbitrators
April 12, 2006

NASD DR Proposes Restricting Subpoena Power to Arbitrators
September 14, 2005

NASD DR Reduces Mediation Prices in October during 'Settlement Month' As NASD's Mediation Program Celebrates 10-Year Anniversary
July 25, 2005

NASD DR Seeks to Tighten Definition of "Public Arbitrator"
April 25, 2005

NASD Proposes Revising Definition of Public Arbitrator
March 28, 2005

NASD Expands Reach of Dispute Resolution Forum To All 50 States
January 27, 2005

New Arbitration Rule Requires Award Explanations Upon Investor Request
December 9, 2004

NASD Fines Sigma Financial for Suing Customers in Violation of NASD's Arbitration Code
August 24, 2004

NASD Given New Authority to Discipline Former Brokers Who Fail to Pay Arbitration Awards, Settlements
August 5, 2004

NASD Dispute Resolution Launches Online Arbitration Claim Filing And Notification System
July 19, 2004

NASD Fines Citigroup, Merrill Lynch and Morgan Stanley a Total of $750,000 for Failing to Comply with Discovery Obligations In Arbitrations
June 25, 2004

SEC Approves NASD Arbitrator Classification Rule Changes
June 18, 2004

NASD Implements Expedited Dispute Resolution Proceedings for Elderly or Seriously Ill Parties

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