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,
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.
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.
An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.
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.
By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School
This analysis was prepared by SAA Advisory Board Member Prof.
