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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Third PIABA Report on Unpaid Awards: “It’s Getting Worse”
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By George H. Friedman, SAA Publisher & Editor-in-Chief

PIABA’s third report in over five years says the problem of unpaid FINRA awards is getting worse,

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COVID-19’s Continued Impact on ADR Providers: The Key Institutions Update Us on Plans for the Future
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The COVID-19 pandemic hit all Americans in many ways, and the legal and alternative dispute resolution systems were no exceptions.

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PIABA: BrokerCheck and the Expungement Process Are Broken. Moratorium Needed Now
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By George H. Friedman, SAA Editor-in-Chief

On the eve of its annual meeting October 22 – 25, the Public Investors Advocate Bar Association released a study commissioned by the PIABA Foundation,

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Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
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At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

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More on FINRA’s Report on Unpaid Customer Awards. Sen. Warren Introduces Bill To Compel Implementation of One of the Ideas; PIABA Agrees
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We continue here our analysis of FINRA’s recently-published Report, FINRA Perspectives on Customer Recovery, and share news that a Bill has been introduced in the Senate to require FINRA to implement one of the Report’s proposals.

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