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.
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 authorized in March by its Board, FINRA has filed a rule change proposal to conform the Industry Code to the newly-enacted Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act.
By George H. Friedman, SAA Publisher & Editor-in-Chief
On the heels of the decision by Fulton County Superior Court Judge Belinda E.
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
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,