A Peek Behind a Selling Away Award: Fry v. Comprehensive Asset Management and Servicing Inc. & Steele
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A PEEK BEHIND A SELLING AWAY AWARD: FRY v. COMPREHENSIVE ASSET MANAGEMENT AND SERVICING INC. & STEELE, FINRA ID #17-01767 (Indianapolis, IN,

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Ohio Adjudicators Overrule Advisor’s Efforts to Avoid Arbitration Award Enforcement: UBS Financial Services, Inc. v. Lacava
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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.

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Securities Experts Roundtable Holds Two-Day Conference in Washington, D.C., Featuring Educational Sessions on a Host of Topics
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The conference, which coincided with the Securities Experts Roundtable’s (SER) 26th annual membership meeting, met on Friday and Saturday, July 27 and 28,

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Court Confirms — Arbitrator Was Right to Say Agreement Gives Case Some Class: Wells Fargo Advisors LLC v. Sappington
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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,

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Explained Award: Wilczynski vs. Aegis Capital Corp.
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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,

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An Ignored Email Arbitration Agreement May Be Enforceable: Gupta vs. Morgan Stanley Smith Barney, LLC
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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,

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