NASAA Proposes Model Rules to Address Unpaid Awards and Fines
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The North American Securities Administrators Association (“NASAA”) has released for public comment draft model rules to address the lingering problem of unpaid fines and arbitration awards.

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Third PIABA Report on Unpaid Awards: “It’s Getting Worse”
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By George H. Friedman, SAA Publisher & Editor-in-Chief

PIABA’s third report in over five years says the problem of unpaid FINRA awards is getting worse,

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