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,
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.
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.
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;
(This analysis is authored by SAA Editorial Board member Robert Pearce, a Securities Arbitration Lawyer at the Law Offices of Robert Wayne Pearce,
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.