This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman of the Board of Directors for Arbitartion Resolution Services, Inc. The Supreme Court holds 7-2 that the CPPB’s funding mechanism does not violate the Constitution’s Appropriations Clause. We reported in SAA 2023-10 (Mar. 9) that the Supreme Court had granted Certiorari in Community Financial…

This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman of the Board of Directors for Arbitartion Resolution Services, Inc. A unanimous Court holds in Smith v. Spizzirri, No. 22-1218, that under Federal Arbitration Act (“FAA”) section three, courts compelling arbitration must stay but cannot dismiss the underlying litigation. As reported in SAA 2024-18 (May…

This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman of the Board of Directors for Arbitartion Resolution Services, Inc. The Department of Labor’s (“DOL”) final fiduciary rule has been published; it goes into effect September 23. We borrow heavily from our previous reporting. As reported in SAA 2023-42 (Nov. 8),…

This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman of the Board of Directors for Arbitartion Resolution Services, Inc. As reported in SAA 2023-36 (Sep. 21), the June 2023 Petition for Certiorari states: “This case presents a clear and intractable conflict regarding an important statutory question under the Federal Arbitration Act (FAA), 9 U.S.C. 1-16.[]…

This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman of the Board of Directors for Arbitartion Resolution Services, Inc. FINRA has begun to post expungement-related stats on its Website. For as long as we can remember, arbitrator-recommended expungement has been a topic of interest in the financial services field, and…

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