By George H. Friedman, SAA Publisher & Editor-in-Chief
Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As we reported in SAA 2022-30 (Aug. 4), the Georgia Court of Appeals “unvacated” the Award in the Wells Fargo “rigged panels” case.
By Harry Jacobowitz, Esq.****
In spite of the fact that arbitration claims that violate FINRA’s six-year eligibility rule must be dismissed without considering additional grounds for dismissal and without prejudice to the claimant’s or claimants’ right to pursue the claims in court,
Arbitrators have an affirmative duty to reveal potential conflicts of interest, especially when such a disclosure is expressly required by the forum in which they serve,
A party is challenging JAMS’ neutrality as administrator because the provider filed an Amicus Brief at the Supreme Court supporting the position taken by its adversary in the same arbitration.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC has approved a FINRA proposal increasing certain Chairperson honoraria.
We reported in SAA 2019-48 (Dec.