FINRA Panel Gives Lengthy Explanation of Why it Awards More Than $1 Million to Customer
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By Harry A. Jacobowitz, Esq.

The Award, Inlow v Barrows, FINRA ID No. 22-01360 (Los Angeles, CA, Oct. 30,

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PIABA Issues Updated Expungement Report
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the heels of the October 16 effective date of a number of rule amendments affecting the expungement of customer dispute information,

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A Primer on Future Expungement Procedure
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By Harry A. Jacobowitz, Esq.

October 16, 2023, the effective date of a number of rule amendments affecting the expungement of customer dispute information,

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Applying FAA Chapter 1, Eleventh Circuit Finds Lack of Arbitrator Disclosure Did Not Warrant Vacatur
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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”),

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FINRA Issues Long-Awaited Regulatory Notice in the Highly Restrictive 2023 Expungement Rule Changes
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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).

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FINRA Panel Awards Broker $2.5 Million and U5 Reformation Over Stinging Partial Dissent
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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,

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