*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.
Senator Elizabeth Warren has written to FINRA inquiring about the status of Board-approved changes on expungement.
We reported in SAA 2018-48 (Dec.
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.
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.