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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Gupta v. Morgan Stanley Smith Barney, LCC
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By James L. Komie

An employee is bound to arbitrate under the employer’s modified arbitration program requiring arbitration of discrimination claims where he failed to opt out after receiving an email regarding the modified policy,

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Walters v. Boustead Securities LLC
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By Paul J. Dubow

*Although an appraisal may sometimes be considered to be an arbitration, the underlying contract must specifically designate it as such.

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Pointing Fingers: A Peek Behind an Explained Award
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Leggett v. Wells Fargo Clearing Services, LLC, FINRA ID #17-01077 (Atlanta, GA, 8/1/19) is unusual because it not only includes explanations for two expungements,

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Explained Award: Denied Expungement Reveals Useful Tip About Making Expungement Requests
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Explained Awards — those that contain the Arbitrator’s reasons for granting or denying the relief requested — are available to parties under FINRA Rules 12904(g) and 13904(g),

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Bucy v. Edward D. Jones & Co., L.P.
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In hiring or employing registered representatives, federally-registered securities brokers and brokerages have no duty to further explain the legal consequences of a clear, explicit,

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