FINRA Panel Dismisses Ineligible Claim with Prejudice
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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,

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Analysis: Georgia Court Vacates FINRA Award on Several Bases
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Just as we were finalizing the last Alert, we learned that a Georgia Trial Court had vacated a FINRA Award based on multiple Federal Arbitration Act (“FAA”) grounds.

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DOL Delays Fiduciary Rule Enforcement Until End of January
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By George H. Friedman, SAA Publisher & Editor-in-Chief

In somewhat of a surprise, the Department of Labor (“DOL”) has delayed from December 20 until January 31 enforcement of its fiduciary rule.

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Explained Award: AP Bats .500 on Two Expungement Requests
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An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.

Lombardo v. Joseph Gunnar,

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Comments on DOL’s Fiduciary Rule are Split Pretty Much Along Party Lines
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The period for filing comments and requesting a public hearing closed August 6, with just one hundred comments and no extension or hearing despite a request from Congressional Democrats and others.

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Massachusetts Adopts Fiduciary Regulation
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By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School

This analysis was prepared by SAA Advisory Board Member Prof.

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