FINRA Panel Awards Broker $2.5 Million and U5 Reformation Over Stinging Partial Dissent
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By Harry A. Jacobowitz, Esq.*

A registered representative won a big award of monetary damages against his former employer from a majority of a three-member arbitration panel,

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June Marks One Year Anniversary of “Rigged Panels” Investigation Report
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By George H. Friedman, SAA Publisher & Editor-in-Chief

It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.

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Eleventh Circuit Reverses Course on Grounds to Vacate Under UN Convention
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Overruling prior Circuit precedent, the Eleventh Circuit finds that the grounds set forth in FAA section 10 are the sole basis for challenging “foreign” awards under the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“UN Convention”),

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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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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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UPDATE: Alleging Arbitrator Bias, Oppenheimer Moves to Vacate FINRA Panel’s $36+ Million Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Oppenheimer has moved to vacate a massive Award rendered against it by a FINRA Panel.

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