By George H. Friedman, SAA Publisher & Editor-in-Chief
As widely reported in the media, a former D.E. Shaw money manager prevailed to the tune of $52.1 million in his defamation claim against the firm and four senior executives.
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
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 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,