NASAA Proposes Model Rules to Address Unpaid Awards and Fines
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The North American Securities Administrators Association (“NASAA”) has released for public comment draft model rules to address the lingering problem of unpaid fines and arbitration awards.

...Read More

Third PIABA Report on Unpaid Awards: “It’s Getting Worse”
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

PIABA’s third report in over five years says the problem of unpaid FINRA awards is getting worse,

...Read More

Divided Ninth Circuit Ruling on California AB-51 FAA Preemption is also a Split Decision: Statute is Preempted in Part
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

A split Ninth Circuit has finally ruled on the validity of AB-51, which would restrict predispute arbitration clauses (“PDAA”) in employment relationships.

...Read More

FINRA Dispute Resolution Services: “Get Vaccinated or Participate Virtually (Except in Florida)”
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) on September 17 announced an updated COVID-19 vaccination policy.

...Read More

It’s Been More than Three Months Since FINRA Went Back to the Drawing Board on the Expungement Rule. How Long is “Temporary”?
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.

...Read More

Servotronics on Certiorari Petition: “Never Mind!” But Badgerow Oral Argument is Now Set  
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

Just a month out from oral argument, Servotronics has notified the Court that it is dismissing its Certiorari Petition.

...Read More

Read Our Recent Blog