By George H. Friedman, SAA Publisher & Editor-in-Chief
Relying on recently-announced Eleventh Circuit precedent — that the grounds set forth in FAA section 10 are the sole basis for challenging “foreign” awards under the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“UN Convention”),
By Harry A. Jacobowitz, Esq.
The Notice announces an effective date of October 16, 2023 for the new, restrictive rules, beginning a countdown for the last chance to preserve the opportunity to expunge many customer complaints from the Central Records Depository (CRD).
By Harry A. Jacobowitz, Esq.*
A registered representative won a big award of monetary damages against his former employer from a majority of a three-member arbitration panel,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The parties have stipulated to a Consent Order vacating a massive Award rendered against Oppenheimer by a FINRA Panel.
By David E. Robbins[1]
Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2] This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”
By Richard P. Ryder, Esq.
The American Arbitration Association reports quarterly with detailed data on the cases it closes under its Consumer &
