A broad coalition of a dozen consumer advocacy groups – including PIABA – has written to the SEC. urging that the Commission investigate the use by RIAs of mandatory predispute arbitration agreements (“PDAA”) providing for the use of non-SRO arbitration fora,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Supreme Court has decided Southwest Airlines Co. v. Saxon, No.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As authorized in March by its Board, FINRA has filed a rule change proposal to conform the Industry Code to the newly-enacted Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As widely reported in the media, a former Merrill Lynch broker, who had earlier this year been released from prison after serving a three-plus year sentence resulting from his misconduct,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Supreme Court has decided Morgan v. Sundance Inc., No. 21-328,
By Harry A. Jacobowitz, Esq.*
In a timely move, the Alabama Securities Commission (“ASC”) raises serious questions about the procedure employed in a recent FINRA expungement proceeding,