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***Breaking: SEC Approves Reg Best Interest and Related Proposals
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The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

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SEC to Vote on Reg Best Interest June 5
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The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

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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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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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Securities Arbitration Commentator Book Review
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Securities Arbitration Commentator Book Review

By Ben Suter *

In My Expert Opinion . . .

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Gherardi vs. Citigroup Global: A Look Behind a Wrongful Termination Award
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GHERARDI v. CITIGROUP GLOBAL MARKETS, INC., FINRA ID #16-01001 (Miami, FL, 2/28/18).

Behind almost all Awards is a story twice told – once by the claimant and the second time by the respondent,

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