Latest SAC Podcast Tackles “Employment Issues in Securities Arbitration in the Wake of Epic Systems”
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The current state of securities industry employment arbitration, including what the Supreme Court’s Epic Systems decision may mean for the financial services sector, were the core topics discussed recently by an experienced panel of securities arbitration experts in the sixth SAC Podcast.

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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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A Ponzi Scheme and Insurance, Ownership and Loss (or Lack Thereof): Cooper Industries, Ltd. v. Nat’l Union Fire Ins. Co. of Pittsburgh, Pa.
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By Jack D. Ballard

*An investor who loans money in exchange for a promissory note ceases to own the money loaned.

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Rules and Proof Prove No Problem for Promissory Note Award: Bogar v. Ameriprise Financial Services, Inc.
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By Sarah G. Anderson

*A court’s inquiry under §10(a)(4) of the FAA is whether the arbitrator had the power to reach a certain issue,

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The (Fictional) Case of Member Firm v. Thomas Hobson – or why FINRA Rules Should Be Modified to Provide for Automatic Offset of Damage Awards to Opposing Parties to Prevent Unfair Choices
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By James L. Komie

“Hobson’s choice: a situation in which you are supposed to make a choice but do not have a real choice because there is only one thing you can have or do.” Merriam-Webster.com

Consider the following scenario.

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