Alabama Securities Commission Moves to Vacate FINRA Expungement Award for Procedural Improprieties
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By Harry A. Jacobowitz, Esq.*

In a timely move, the Alabama Securities Commission (“ASC”) raises serious questions about the procedure employed in a recent FINRA expungement proceeding,

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FINRA Panel Dismisses Ineligible Claim with Prejudice
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By Harry Jacobowitz, Esq.****

In spite of the fact that arbitration claims that violate FINRA’s six-year eligibility rule must be dismissed without considering additional grounds for dismissal and without prejudice to the claimant’s or claimants’ right to pursue the claims in court,

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Our Promised Elaboration on the FINRA DRS 1Q Stats
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through March, with the overall case filing trends – with one exception – about the same as before.

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SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,

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Ninth Circuit Declines to Enforce Browsewrap TOS that Didn’t Clearly Alert Users To PDAA
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The lack of an affirmative action by the consumer to accept the browsewrap agreement’s Terms of Service “TOS”) doomed the PDAA therein.

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Federal Court Stays Foreign Litigation Pending Arbitration
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By Harry Jacobowitz, Esq.**

A U.S. District Court granted a rare permanent injunction against a Mexican lawsuit and even ordered the plaintiff to dismiss some claims without prejudice because those claims were arguably subject to an arbitration agreement.

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