PIABA: BrokerCheck and the Expungement Process Are Broken. Moratorium Needed Now
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By George H. Friedman, SAA Editor-in-Chief

On the eve of its annual meeting October 22 – 25, the Public Investors Advocate Bar Association released a study commissioned by the PIABA Foundation,

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Antis v. Pravlik
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By Samuel B. Edwards

Appellate court confirms trial court’s denial of a motion to compel arbitration from a broker and his separate investment advisory business,

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More on the Whistleblower Improvement Act, and Another Anti-Arbitration Bill is Introduced
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By George H. Friedman, SAA Editor-in-Chief

We briefly mentioned in SAA 2019-37 (Sep. 25) that the bipartisan Whistleblower Programs Improvement Act had been introduced in the Senate.

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Fort Washington Investment Advisors, Inc. v. Adkins
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By Christopher G. Lazarini

*A temporary restraining order preserves the status quo pending a reasoned resolution of the dispute. **The four factors considered when temporary injunctive relief is requested – likelihood of success on the merits,

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Unanimous California Supreme Court: Employee Covered by an Arbitration Agreement Can’t Use PAGA to Recover Unpaid Wages
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By George H. Friedman, SAA Editor-in-Chief

An employee’s claim for unpaid wages brought under California’s Private Attorneys General Act must proceed to arbitration,

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That Didn’t Take Very Long: FAIR Act Approved by the House
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By George H. Friedman, SAA Editor-in-Chief

Just days after being cued up for a possible vote, the Forced Arbitration Injustice Repeal (FAIR) Act of 2019 was approved by the House of Representatives on September 20 by a mostly party-line vote.

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