By Nelson Timken*
What is Functus Officio?
The term functus officio is translated from Latin as “having performed his or her office”
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.
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,
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.
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.
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,