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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Award Survey: 2001-18 Clearing Broker-Dealer Liability
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Broker-dealers who engage with customers as “introducing broker-dealers” don’t perform the “back office” tasks needed to clear and settle transactions. Rather, they rely on specialized clearing broker-dealers to perform those functions for the introducing BDs,

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Explained Award Features Settlement and Hearing, Dismissal of Claims and Expungement Dissent
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For this case to unravel the way it did required that the Claimants pursue both the brokers and the firm as Respondents. That’s not terribly common in FINRA arbitration,

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Metropolitan Life Ins. Co. v. Bucsek
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By Jill I. Gross

*Court decides issue of arbitrability if there is not sufficient evidence that parties clearly and unmistakably agreed to arbitrate the question of arbitrability.

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Bae v. Park
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By Ben Suter

The Court finds that the defendant failed to demonstrate that the plaintiffs procured an arbitration award by corruption,

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