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Commonwealth Coatings Lives On! SCOTUS Denies Certiorari in Monster Energy
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By George H. Friedman, SAA Editor-in-Chief

 We usually report Certiorari denials in the “Short Brief” section, but this one sought to overturn a precedent set over half a century ago;

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CFP Board Issues New Procedural Rules Supporting June 30 Enforcement of Final Fiduciary Rule. And FINRA Is Gearing Up for Reg BI
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By George H. Friedman, SAA Editor-in-Chief

As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.

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We Called It (Mostly). SCOTUS Grants Certiorari To Address Loose End in Henry Schein but Declines To Take on Broader Issues
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By George H. Friedman, SAA Editor-in-Chief

The Supreme Court agrees to review an open issue from its 2019 ruling in Henry Schein,

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Certiorari Sought in Monster Energy. Is It Time for SCOTUS To Put Commonwealth Coatings To Rest?
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By George H. Friedman, SAA Editor-in-Chief

Certiorari has been sought challenging a divided Ninth Circuit decision that vacated an Award for “evident partiality” under the Federal Arbitration Act.

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2016-19 Customer Award Survey in an Era of Securities Arbitration Stability
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By Harry A. Jacobowitz*

Introduction

Every so often, we take stock of how FINRA arbitration results change over time, by analyzing Award win rates and damage recoveries year-to-year.

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SEC Approves FINRA’s Minimum Expungement Fees Rule Filing
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By George H. Friedman, SAA Editor-in-Chief

No sooner had we reported in SAA 2020-19 (May 20) that FINRA Dispute Resolution Services (“DRS”) had responded to comments on its proposed new fee regime specifically for expungement requests,

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