Next Level Planning & Wealth Management, LLC v. Prudential Ins. Co. of America
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By James L. Komie

*Arbitrators do not have authority under Section 7 of the Federal Arbitration Act to issue a subpoena to a third party for the production of documents only.

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Freeman v. Fidelity Brokerage Services, LLC
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By Jack D. Ballard

Trust beneficiaries were not required to arbitrate claims against brokerage firm which they alleged knowingly participated in breaches of fiduciary duty by step-father trustee,

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Warren to FINRA: What’s Happening on Expungement Changes?
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Senator Elizabeth Warren has written to FINRA inquiring about the status of Board-approved changes on expungement.

We reported in SAA 2018-48 (Dec.

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Back on the Front Burner for NASAA: New Legislative Agenda Has a Heavy Emphasis on Arbitration
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NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.

The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;

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“FINRA Listens … and Speaks,” an Evening Forum on FINRA Arbitration Hosted by NY County Lawyers Association, Took Place Feb. 12: Here’s Our Roundup
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This annual program, now in its 20th year, runs only a couple of hours, but it has a perspective that’s unique and often helpful in uncovering useful practice tips.

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How Long Does It Take Post-Award To Get Expungement Relief? A Sampling of Cases.
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Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.

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