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The Stanford Ponzi scheme was discovered in early 2009. Arbitration cases arising out of it are still with us, however. We covered in the “Articles of Interest” section in SAA 2021-26 (Jul. 15) a July 12 Financial Advisor IQ story, “FINRA Arb Panel Orders Pershing to Pay $650K Over Ponzi Scheme,” reporting that: “A Financial Industry Regulatory Authority…

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The issue of shareholder arbitration is in the news again, this time in the form of a long-awaited court decision on Johnson & Johnson’s rejection of a shareholder proposal. Recall that we reported in SAA 2019-07 (Feb. 13) that then-SEC Chairman Jay Clayton in February 2019 issued a formal Public Statement backing a staff decision to issue a “no-action letter” on…

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As more and more financial services firms announce their plans for returning staff to the workplace (see our coverage in SAA 2021-24 (Jun. 24)), we thought we would check in with the major ADR institutions to inquire about their “back-to-the-office” intentions. Hard to believe, but it’s been over two months since leaders from the American Arbitration…

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By George H. Friedman* Chairman of the Board, Arbitration Resolution Services Years ago I penned a blog post on Independence Day and arbitration, and updated it a few years ago. It still rings true. So, without further ado, here’s my July 4th blog post, again updated. Our Founders and Arbitration As we approach Independence Day,…

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This analysis of three large COVID-era Awards in favor of customers is provided by Harry Jacobowitz, Esq. He can be reached at harryjacobowitz@optimum.net. The words that follow are his. The unavailability of in-person hearings in FINRA arbitrations since March 16, 2020, has raised the issue of whether telephonic and virtual hearings are sufficient methods for customers to…

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