NY Trial Court: Objecting to FINRA Jurisdiction but Participating in Arbitration Not Enough to Vacate Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

A financial adviser who noted his continued objections to FINRA Dispute Resolution Services’ (“DRS”) jurisdiction but otherwise participated in the arbitration cannot later challenge the Award under New York’s arbitration statute.

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PLI’s “Securities Arbitration 2020” – A New Medium, But the Same Great Content
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Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,

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Seminar Highlights: “FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond”
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SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,

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FINRA Issues Reg Notice Setting September Effective Date for New Minimum Expungement Fees
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By George H. Friedman, SAA Editor-in-Chief

After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.

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Anatomy of an Explained JAMS Award: To Defend Or Not To Defend
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By Harry A. Jacobowitz, Esq.

While most explained Awards focus on factual issues, Alderson v. deVere USA, Inc., JAMS ID #1425027170 (New York,

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CFP Board Issues New Procedural Rules Supporting June 30 Enforcement of Final Fiduciary Rule. And FINRA Is Gearing Up for Reg BI
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By George H. Friedman, SAA Editor-in-Chief

As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.

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