Coalition of Consumer Protection Advocates Again Urges SEC’s Clayton: No IPO Arbitration or Class Action Waivers
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A 133-member coalition of national and state consumer and investor rights advocates has written to the SEC urging that it not permit arbitration or class action waivers of IPO disputes.

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A Midyear Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Chairman of the Board – Arbitration Resolution Services

[This is adapted from a post originally published in the author’s blog at Arbitration Resolution Services (ARS).

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Supreme Court Nominee Kavanaugh Seems To Be Pro-Arbitration (or so We Think), Part II
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Last week, we analyzed the cases involving business and securities arbitration decided by Supreme Court nominee, Judge Brett M. Kavanaugh of the District of Columbia Circuit.

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SEC Discusses “Regulation Best Interest” for BDs and Standards of Conduct for RIAs at Open Meeting: “Reg Status Quo”?
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As we previewed in SAA 2018-14, the five sitting Commissioners of the Securities Exchange Commission held an open meeting April 18 at 3:30 PM on several issues that have begged for consideration for years.

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Beware of Scammers in Regulators’ Clothing, FINRA Says
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The Financial Industry Regulatory Authority has issued an Investor Alert warning that scammers have been defrauding investors by posing as financial regulators.

“Neither FINRA,

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Consumer and Employment Arbitration – Six Things to Look for in 2018
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member and Chairman of the Board – Arbitration Resolution Services

[This is adapted from a post originally published in the author’s blog at Arbitration Resolution Services (ARS).

...Read More

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