Alderson v. deVere USA, Inc.
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By Christopher G. Lazarini

Defendant faces potential sanctions for its repeated delays in paying attorneys’ fees awarded Plaintiff in arbitration.

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State v. Lindell
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By Ben Suter

The Court finds that the trial court did not err when it admitted contested evidence,

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2016-19 Customer Award Survey in an Era of Securities Arbitration Stability
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By Harry A. Jacobowitz*

Introduction

Every so often, we take stock of how FINRA arbitration results change over time,

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Anatomy of an Explained AAA Award: “Oh, What a Tangled Web We Weave….”
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Guest author Harry A. Jacobowitz, Esq., analyzes for us an explained AAA Award featuring the largest damages since 2018 and the Arbitrator’s detailed explanation (as requested by the parties) of liability and damages in favor of a hedge fund against its fired portfolio manager.

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Jackson County Bank v. DuSablon
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By Christopher G. Lazarini

*Broker’s request for relief from prior sanction order under FRCP 60(b) rejected.

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SEC Approves FINRA’s Minimum Expungement Fees Rule Filing
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By George H. Friedman, SAA Editor-in-Chief

No sooner had we reported in SAA 2020-19 (May 20) that FINRA Dispute Resolution Services (“DRS”) had responded to comments on its proposed new fee regime specifically for expungement requests,

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