Explained Award: Broker Tagged with Full Liability for Both Note Debt and Settlement of a Customer Claim
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Note cases are pretty common these days, but broker-dealers pursuing and winning on indemnification claims against brokers are not so common. This case has both,

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FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm
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Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

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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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Antis v. Pravlik
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By Samuel B. Edwards

Appellate court confirms trial court’s denial of a motion to compel arbitration from a broker and his separate investment advisory business,

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Centaurus Financial, Inc. v. Ausloos and FINRA
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By Christopher G. Lazarini

*For FINRA Rule 12200, a “customer” who may compel arbitration absent an agreement to arbitrate is a non-broker and non-dealer having a business relationship with a FINRA member,

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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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