By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
By Harry A. Jacobowitz, Esq.***
A broker’s attempt to vacate an unfavorable New York arbitration decision through forum shopping in Colorado and an effectively uncontested vacatur proceeding,
SCOTUS Again Declines to Review Case Involving FINRA Award
By George H. Friedman, SAA Publisher & Editor-in-Chief
For the second time in a few months,
By Harry A. Jacobowitz
A U.S. District Court judge, after issuing an order to compel arbitration, learned he had a conflict of interest and disqualified himself;
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.