Reminder: Oral Argument in Coinbase is March 21. What You Need to Know
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Reminder: Oral Argument in Coinbase is March 21. What You Need to Know

Reminder: as reported in SAA 2023-07 (Feb. 16), the Supreme Court has set for Tuesday,

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New York State Court Refuses to Countenance End Run Around FINRA DRS Expungement Denial
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By Harry A. Jacobowitz, Esq.***

A broker’s attempt to vacate an unfavorable New York arbitration decision through forum shopping in Colorado and an effectively uncontested vacatur proceeding,

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SCOTUS Again Declines to Review Case Involving FINRA Award
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SCOTUS Again Declines to Review Case Involving FINRA Award

By George H. Friedman, SAA Publisher & Editor-in-Chief

For the second time in a few months,

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Expungement Update: Few Comments on Amended Proposal. PIABA and NASAA Supportive, But SIFMA Urges Disapproval
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The comment period closed December 7 on FINRA’s proposed changes to its expungement rule filing.

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Judge’s Interpretation of an Ambiguous Arbitration Agreement Survives, Despite Post-Decision Recusal for Conflict of Interest
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By Harry A. Jacobowitz

A U.S. District Court judge, after issuing an order to compel arbitration, learned he had a conflict of interest and disqualified himself;

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Expungement Update: FINRA Responds to Comments and Files an Amendment; SEC Seeks Comments on Changes and Disapproval
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Those who thought we were nearing the end of the road for FINRA’s proposed changes to the expungement process need to rethink their assumptions.

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