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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Anatomy of an Explained AAA Award: “Oh, What a Tangled Web We Weave….”
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Guest author Harry A. Jacobowitz, Esq., analyzes for us an explained AAA Award featuring the largest damages since 2018 and the Arbitrator’s detailed explanation (as requested by the parties) of liability and damages in favor of a hedge fund against its fired portfolio manager.

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