Mini-Survey: Seniors Reach Hearing and Award Only Marginally More Quickly Than Customers as a Whole in FINRA Arbitrations
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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,

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A Few Minutes with New PIABA President Mike Edmiston
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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.

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NASAA Proposes Model Rules to Address Unpaid Awards and Fines
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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.

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It’s Been More than Three Months Since FINRA Went Back to the Drawing Board on the Expungement Rule. How Long is “Temporary”?
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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.

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Customers Win Three Large COVID-era Awards
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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.

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FINRA Goes Back to the Drawing Board on Expungement Rule
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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,

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