Coalition of Consumer Protection Advocates Again Urges SEC’s Clayton: No IPO Arbitration or Class Action Waivers
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A 133-member coalition of national and state consumer and investor rights advocates has written to the SEC urging that it not permit arbitration or class action waivers of IPO disputes.

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Supreme Court Nominee Kavanaugh Seems To Be Pro-Arbitration (or so We Think), Part II
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Last week, we analyzed the cases involving business and securities arbitration decided by Supreme Court nominee, Judge Brett M. Kavanaugh of the District of Columbia Circuit.

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SCOTUS Scorns Appointments of SEC Administrative Law Judges in Enforcement Appeal: Lucia v. SEC
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By Ben Suter

The SEC’s administrative law judges are officers subject to the Appointments Clause.

Lucia vs.

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FINRA and SEC Respond to Senators’ Request for Info on Sexual Harassment; Arbitration Is In the Mix
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FINRA and the SEC have both responded to letters sent in March by Senator Elizabeth Warren and two others seeking data and other information on sexual harassment in the financial sector.

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A Late Comment on RN 17-42, Tougher Expungement Procedures: SEC’s Ombudsman and the Office of Investor Advocate Weigh In
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The SEC’s Office of the Investor Advocate and the Commission’s Ombudsman have submitted a somewhat belated comment on FINRA’s proposed amendments to the expungement procedures,

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Republicans Prepare To Submit House Bill To Repeal and Replace Dodd-Frank. Eliminates SEC, CFPB Authority To Ban Predispute Arbitration Clauses
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Financial Services Committee Chairman Hensarling has issued a memo alerting committee leadership of changes to an earlier version of the Act to repeal and replace Dodd-Frank.

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