By George H. Friedman, SAA Publisher & Editor-in-Chief
Those who thought we were nearing the end of the road for FINRA’s proposed changes to the expungement process need to rethink their assumptions.
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
The Supreme Court on October 31 denied Certiorari in Caputo v. Wells Fargo, No.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As we reported in SAA 2022-30 (Aug. 4), the Georgia Court of Appeals “unvacated” the Award in the Wells Fargo “rigged panels” case.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA staff this week followed up on recent Board approval to file a new expungement rule.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As widely reported in the media, a former D.E. Shaw money manager prevailed to the tune of $52.1 million in his defamation claim against the firm and four senior executives.