Expungement Update: FINRA Responds to Comments and Files an Amendment; SEC Seeks Comments on Changes and Disapproval
on

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.

...Read More

Update: More on NASAA Approval of Final Model Rule on Unpaid Awards
on

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

We reported briefly in SAA 2022-20 (May 26) that the North American Securities Administrators Association (“NASAA”) on May 20 adopted its Unpaid Customer Arbitration Awards Model Rule.

...Read More

***This Just In: SCOTUS Decides Badgerow
on

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

 Just as we went to press came word that, based on statutory construction, the Supreme Court has decided Badgerow v.

...Read More

Georgia Court Vacates FINRA Award on Several Bases, Including FINRA DRS Misconduct. PIABA Calls for the Feds to Investigate
on

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

Just as we were finalizing this Alert, we learned that a Georgia Trial Court has just vacated a FINRA Award based on multiple Federal Arbitration Act (“FAA”) violations,

...Read More

Sorry About That, Chief, But it Does Matter Who Appointed the Judge
on

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

In the old “Get Smart” comedy series, secret agent Maxwell Smart would often say to his boss,

...Read More

Kentucky Supreme Court Upholds An Arbitrator’s Use of the Merger Doctrine Over a Statutory Challenge
on

by Hayes Favinger*

The Supreme Court of Kentucky upholds unanimously an Arbitrator’s award despite a challenge on the grounds that KRS 324.360 overruled the merger doctrine** as applied.

...Read More