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FINRA Reacts To PIABA Criticism of Efforts To Corral Expungement Grants by Arbitrators
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We learned this week that FINRA had a lot to say about the most recent statistical study on expungement performed by the Public Investor Arbitration Bar Association.

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Court Refuses to Enforce Arbitration Agreement, Cites Unclear Litigation Waiver: Barr vs. Bishop Rosen & Co., Inc.
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Under New Jersey law, an arbitration agreement is unenforceable if it does not clearly state that the signatory is waiving the right to pursue his or her legal remedies in court.

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PIABA’s Updated Expungement Study
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The Public Investor Arbitration Bar Association (PIABA) rolled out a follow-up to its influential 2013 study of expungements in stipulated Awards in a press teleconference on Monday,

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One-Office Acquisition Puts Broker-Dealer on the Hook for Embezzlement at Prior Firm: National Credit Union Administration vs. Wells Fargo, LLC
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By Sarah G. Anderson

A broker-dealer that purchases only part of another broker-dealer’s business may be liable as the corporate successor of the earlier firm with respect to the part it purchased.

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CFPB Arb Hearing in Denver, Like Predecessor in Newark, Characterized By Lack of Arb Supporters and Release of News by Bureau
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About a hundred people attended the “field hearing” on arbitration held by the Consumer Financial Protection Bureau (“CFPB”) on Wednesday, October 7 at the History Colorado Center in Denver,

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Overdue Inquiry on Arbitrator Ethical Issues Abrogates Attack on Award: Goldman Sachs & Co. v. Athena Venture Partners, L.P.
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By David C. Franceski, Jr.

A party to arbitration with constructive knowledge, i.e., that the party knew or by the exercise of reasonable diligence should have known,

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