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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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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That Didn’t Take Very Long! Just as Reg BI Goes into Effect, Seven States and DC Sue To Block It
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By George H. Friedman, SAA Editor-in-Chief

Just as the SEC’s Regulation Best Interest was about to go into effect September 10, several states and the District of Columbia sued to stop it.

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Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
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At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

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FINRA Stats, 7/19: Customer Claims on a Slow Rise from Earlier Months of 2019
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Here’s the difference we’re seeing: back in January of this year, FINRA’s Office of Dispute Resolution reported in its monthly statistical disclosures that 336 cases had been filed,

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George Friedman, Ex-FINRA Director of Arbitration, Assumes Editorial Helm of SAC’s Securities Arbitration Alert
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News Release

Wednesday, July 31, 2019

Contact: Rick Ryder; (973) 761-5880

rryder@sacarbitration.com

George Friedman;

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