FINRA intends to codify its program to expedite administration of cases involving senior or seriously ill parties. As promised, we commissioned a survey on the program’s effectiveness,
By George H. Friedman, SAA Publisher & Editor-in-Chief
We reported in SAA 2021-41 (Nov. 4) that the Public Investors Advocate Bar Association (“PIABA”) announced in an October 28 Press Release that Michael Edmiston of Jonathan W.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The North American Securities Administrators Association (“NASAA”) has released for public comment draft model rules to address the lingering problem of unpaid fines and arbitration awards.
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.
This analysis of three large COVID-era Awards in favor of customers is provided by Harry Jacobowitz, Esq. He can be reached at harryjacobowitz@optimum.net.
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,