By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA’s Board met in mid-December and among other matters approved changes to the arbitrator listing process.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As we reported in SAA 2022-30 (Aug. 4), the Georgia Court of Appeals “unvacated” the Award in the Wells Fargo “rigged panels” case.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA has released the long-awaited report of outside investigators retained to study the “rigged panels” accusation.
By George H. Friedman, SAA Publisher & Editor-in-Chief
As widely reported in the media, a former Merrill Lynch broker, who had earlier this year been released from prison after serving a three-plus year sentence resulting from his misconduct,
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 the last Alert, we learned that a Georgia Trial Court had vacated a FINRA Award based on multiple Federal Arbitration Act (“FAA”) grounds.