FINRA Goes Back to the Drawing Board on Expungement Rule
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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,

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SCOTUS Grants Certiorari in Badgerow. At Issue: The “Look Through” Standard
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By George H. Friedman, SAA Publisher & Editor-in-Chief

As reported in SAA 2021-19 (May 20), the Supreme Court on May 17 granted Certiorari in a case involving application of the “look-through” standard.

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Remember the FINRA Case Where the Broker Challenged a Zoom Hearing Ordered Over His Objection? It’s Been Awarded
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The arbitration underlying a suit challenging a FINRA Panel’s authority to hold a virtual hearing over a broker’s objection has been awarded. 

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Citing SCOTUS Precedent, Vermont Supreme Court Holds FAA Applies and Preempts State Law
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By George H. Friedman, SAA Publisher & Editor-in-Chief

In a case of first impression, the Vermont Supreme Court in a unanimous 5-0 holding – with two “reluctant” occurrences – finds that: 1) the Federal Arbitration Act (“FAA”) is to be construed broadly as to interstate commerce;

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Eleventh Circuit Upholds $3 Million Sanction FINRA Award Against Morgan Stanley
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(This analysis is authored by SAA Editorial Board member Robert Pearce, a Securities Arbitration Lawyer at the Law Offices of Robert Wayne Pearce,

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Enforcement of $2 Billion ICSID Award Stayed While Internal Appeal is Pending at Arbitration Forum
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The District Court for the District of Columbia declines for the time being to enforce a $2 billion Award against Egypt because an appellate arbitration proceeding is still pending.

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