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.
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),
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.
By Gabrielle Pollard*
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.
By George H. Friedman, SAA Editor-in-Chief
The Southern District of Florida confirms an Award containing $3 million for discovery abuse,