A PEEK BEHIND A SELLING AWAY AWARD: FRY v. COMPREHENSIVE ASSET MANAGEMENT AND SERVICING INC. & STEELE, FINRA ID #17-01767 (Indianapolis, IN,
By Christopher G. Lazarini
*Under Ohio law, a creditor may seek to set aside a transfer by showing actual intent to defraud or constructive fraud.
The conference, which coincided with the Securities Experts Roundtable’s (SER) 26th annual membership meeting, met on Friday and Saturday, July 27 and 28,
By Jill I. Gross
An arbitrator’s ruling that an arbitration agreement permits class arbitration does not exceed his powers or manifestly disregard the law,
EXPLAINED AWARD: WILCZYNSKI v. AEGIS CAPITAL CORP., FINRA ID #17-01664 (Washington, DC, 7/17/18).
The Six-Year Eligibility Rule (FINRA Rules 12206 and 13206) is unique to securities arbitration and,
By James L. Komie
While an employee’s silence in the face of an email from his employer purporting to impose an arbitration requirement may be deemed binding acceptance,