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

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A Final Report Card on My 2017 Arbitration Predictions: “Pretty, Pretty, Pretty, Pretty Good!”
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A Final Report Card on My 2017 Arbitration Predictions: “Pretty, Pretty, Pretty, Pretty Good!”

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).

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Friendly Favor Foments Fracture In Insider Trading Fracas: USA v. Bray
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By Pete S. Michaels

In a criminal prosecution for insider trading, a personal benefit may be inferred where a tipper makes a gift of inside information to a trading relative or friend.

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CFPB’s Proposed Arbitration Reg May Not Be Long for This World
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The Consumer Financial Protection Bureau’s (“CFPB”) proposed regulation governing predispute arbitration agreements in contracts involving financial products and services – if not the Bureau itself – may face rough sledding in 2017,

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Discovery Violations in FINRA Arbitration Draw Heavy Sanctions Against Oppenheimer
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In a News Release issued by FINRA on November 17, the Authority displayed its defense of the integrity of the FINRA arbitration process by dint of sanctions totaling $3.4 million against broker-dealer Oppenheimer &

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DC Circuit Holds Unconstitutional CFPB’s Structure, but Allows the Agency To Keep Functioning
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A divided DC Circuit holds that the Consumer Financial Protection Bureau’s (CFPB) structure, which has a single Director with virtually unlimited, unchecked authority, is unconstitutional.

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