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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