Boracchia v. Fister
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By Paul J. Dubow

The submission of a private complaint to an investment firm seeking compensation based on a broker’s misrepresentations is not equivalent to filing a report with an official agency to prompt an official investigation into that broker’s misconduct and thus is not an act that is protected by California’s anti-SLAPP statute.

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FINRA Stats, 3/20: First Quarter 2020 Ends with Little Change in Case Volume from Last Year…, But Wait!
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In our monthly report on the February 2020 statistics FINRA Dispute Resolution Services* (FINRA-DRS) posted at the end of March (see SAA 2020-13),

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Whitaker v. Wedbush Securities, Inc.
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By James L. Komie

A futures commission merchant acts as a “bank” under Article 4A of the UCC where it processes wire transfer instructions for an institutional customer and is potentially subject to a claim for refund under Article 4A where it transferred money based on a hacker’s email instructions.

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FINRA ODR In-Person Hearings Postponed Again, and AAA Follows Suit. Have We Seen the First FINRA Award with a Virus-Related Virtual Hearing?
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By George H. Friedman, SAA Editor-in-Chief

The FINRA Office of Dispute Resolution (“ODR”) announcement on administrative postponement of in-person hearings through May 31 has been updated to affect hearings though July 3.

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Seminar Highlights: NYSBA’s “A Deep Dive in Securities Arbitration and Mediation 2020”
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By Gabrielle Pollard*

Introduction

On March 6, the New York State Bar Association (“NYSBA”) hosted a full-day securities arbitration and mediation seminar titled Securities Arbitration 2020: Deep Dive.

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District Court Follows “Reasonableness” Standard for Arbitrator Disclosure. Confirms Award of $3 Million in Sanctions for Discovery Abuse … and a Coronavirus Update
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By George H. Friedman, SAA Editor-in-Chief

The Southern District of Florida confirms an Award containing $3 million for discovery abuse,

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