The Midterm Elections are Over: What’s in Store for Arbitration and the Financial Services Field?
on

By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Chairman of the Board – Arbitration Resolution Services 

Adjunct Professor of Law,

...Read More

Just in Time for Halloween, DOL Fiduciary Rule May Return from the Dead
on

Just when we thought the Department of Labor’s (“DOL”) Fiduciary Standard Rule was officially dead, comes word that the Department may be taking another run at a Rule.

...Read More

Post Image
SEC Discusses “Regulation Best Interest” for BDs and Standards of Conduct for RIAs at Open Meeting: “Reg Status Quo”?
on

As we previewed in SAA 2018-14, the five sitting Commissioners of the Securities Exchange Commission held an open meeting April 18 at 3:30 PM on several issues that have begged for consideration for years.

...Read More

Post Image
Consumer and Employment Arbitration – Six Things to Look for in 2018
on

By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member and Chairman of the Board – Arbitration Resolution Services

[This is adapted from a post originally published in the author’s blog at Arbitration Resolution Services (ARS).

...Read More

Post Image
Ex-Broker Has No Continuing Duty to Ex-Customer, Even When They Go Into Business Together: Holmes v. Newman
on

By Jack D. Ballard

A broker’s fiduciary duty to his client in a non-discretionary account is satisfied once he executes a trade and does not give rise to a continuing fiduciary duty that survives the termination of the broker-client relationship.

...Read More

Post Image
Labor Secretary Acosta: No Further Delays on DOL Fiduciary Rule Rollout
on

Secretary of Labor Alexander Acosta says the Department of Labor’s (“DOL”) fiduciary standard rule will roll out as scheduled in June.

The DOL’s fiduciary rule was scheduled to go into effect in phases starting April 10th.

...Read More

Read Our Recent Blog