By Harry A. Jacobowitz, Esq.**
A U.S. Court of Appeals holds that the Supreme Court’s effective vindication exception to the enforcement of arbitration agreements applies to an arbitration agreement that prevents a defined compensation retirement plan participant from pursuing plan-wide remedies.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) has posted case statistics through June, with most trends persisting.
By Rick Ryder, President & Founder-Securities Arbitration Commentator
AAA Award Data is updated quarterly by the American Arbitration Association. This analysis, which covers the first quarter of 2022,
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 recent pace of legislative activity prompted us to look up how many bills have been introduced in the 117th Congress that in some way,
