FINRA Panel Dismisses Ineligible Claim with Prejudice
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By Harry Jacobowitz, Esq.****

In spite of the fact that arbitration claims that violate FINRA’s six-year eligibility rule must be dismissed without considering additional grounds for dismissal and without prejudice to the claimant’s or claimants’ right to pursue the claims in court,

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SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
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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,

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Analysis: Georgia Court Vacates FINRA Award on Several Bases
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Just as we were finalizing the last Alert, we learned that a Georgia Trial Court had vacated a FINRA Award based on multiple Federal Arbitration Act (“FAA”) grounds.

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FINRA DRS Posts Stats Through October: Overall Arbitration Filings Continue to Decline, But Mediations are Going Through the Roof
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through the end of October,

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Washington State Court Vacates $4.6 Million FINRA Award Because One Arbitrator’s Inadequate Disclosure Tainted Panel
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Arbitrators have an affirmative duty to reveal potential conflicts of interest, especially when such a disclosure is expressly required by the forum in which they serve,

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SEC Approves FINRA Rulemaking Proposal to Protect Against At-Risk Firms and Unpaid Arbitration Awards
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.

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