A Survey: When Does Functus Officio Permit an Award’s Clarification or Correction?
on

By Nelson Timken*

What is Functus Officio?

The term functus officio is translated from Latin as “having performed his or her office”

...Read More

SEC Approves FINRA Rulemaking Proposal to Protect Against At-Risk Firms and Unpaid Arbitration Awards
on

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

The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.

...Read More

Thought the Stanford Ponzi Scheme Cases were Done?  Read on…  
on

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

The Stanford Ponzi scheme was discovered in early 2009. Arbitration cases arising out of it are still with us,

...Read More

Kentucky Supreme Court Upholds An Arbitrator’s Use of the Merger Doctrine Over a Statutory Challenge
on

by Hayes Favinger*

The Supreme Court of Kentucky upholds unanimously an Arbitrator’s award despite a challenge on the grounds that KRS 324.360 overruled the merger doctrine** as applied.

...Read More

Customers Win Three Large COVID-era Awards
on

This analysis of three large COVID-era Awards in favor of customers is provided by Harry Jacobowitz, Esq. He can be reached at harryjacobowitz@optimum.net.

...Read More

FINRA Goes Back to the Drawing Board on Expungement Rule
on

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

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

...Read More