By George H. Friedman, SAA Publisher & Editor-in-Chief
The issue of shareholder arbitration is in the news again, this time another court decision on Johnson &
By David E. Robbins[1]
Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2] This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”
By George H. Friedman, SAA Publisher & Editor-in-Chief
By our reckoning, the SEC may be facing a looming late June deadline to report to Congress on investment adviser arbitration.
By Richard P. Ryder, Esq.
The American Arbitration Association reports quarterly with detailed data on the cases it closes under its Consumer &
By George H. Friedman, SAA Publisher & Editor-in-Chief
A unanimous Indiana Supreme Court holds that a predispute arbitration agreement (“PDAA”) and class action waiver unilaterally added by the bank to its account agreement were not enforceable.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Overruling prior Circuit precedent, the Eleventh Circuit finds that the grounds set forth in FAA section 10 are the sole basis for challenging “foreign” awards under the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“UN Convention”),