FINRA Board Met Last Month. Arbitrator Selection Rule Changes Approved
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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.

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Expanded Coverage: Unanimous Georgia Court of Appeals Tosses Trial Court’s Award Vacatur in “Rigged Panels” Case
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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.

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FINRA Releases Report on Independent Review of “Rigged Panels” Accusation: Finds No Irregularities But Recommends Changes
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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.

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Former Merrill Broker Hit with a $7.5 Million Award Months After Release From Prison
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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,

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Raiding Award Features Dueling Explanations of Split Decision
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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,

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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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