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,
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,
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.
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,
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.
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.