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,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,
by Harry A. Jacobowitz
A 35-page explained Award in a raiding case resulted in an award in excess of $18 million against the respondents,
By George H. Friedman, SAA Publisher & Editor-in-Chief
While the arbitration agreement in a variable annuity was enforceable because the investment was a security,
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.
By George H. Friedman, SAA Publisher & Editor-in-Chief
On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,