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Words To The Wise: Perhaps Not For Your Arbitration

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September 14, 2022

More on Amended AAA Commercial Rules

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This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman…

Posted in: Blog
September 12, 2022

California AB-51 Update: Ninth Circuit Panel Declares A “Do-Over”

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This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman…

Posted in: Blog
August 22, 2022

Michigan Revises Attorney Conduct Rules to Regulate PDAAs in Retainer Agreements

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This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman…

Posted in: Blog
June 17, 2022

Consumer Coalition to SEC: Look Into RIA Use of PDAAs Calling for Non-FINRA Arbitration

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This post first appeared on the Securities Arbitration Alert blog.  The blog’s editor-in-chief is George H. Friedman, Chairman…

Posted in: Blog
June 5, 2022

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

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As widely reported in the media, a former Merrill Lynch broker, who had earlier this…

Posted in: Blog
June 1, 2022

Unanimous SCOTUS Decides Sundance: No Prejudice Requirement to Prove Waiver of Arbitration Rights

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The Supreme Court has decided Morgan v. Sundance Inc., No. 21-328, ruling unanimously that there is no prejudice…

Posted in: Blog
May 8, 2022

Our Promised Elaboration on the FINRA DRS 1Q Stats

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FINRA Dispute Resolution Services (“DRS”) posted case statistics through March, with the overall case filing trends –…

Posted in: Blog
May 4, 2022

SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List

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The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,…

Posted in: Blog