The Other Shoe Drops: “Investor Choice Act” Finally Reintroduced in House and Senate. Would Amend 1934 Act and Investment Advisers Act of 1940 To Ban Mandatory Predispute Arbitration Agreements in Customer and Shareholder Relationships
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By George H. Friedman, SAA Editor-in-Chief

It took a while, but joining the slew of anti-arbitration bills pending in Congress is the Investor Choice Act,

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Explained Award: Broker Wins $3 Million Award on Breach of Contract Charges against Former Employer
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We like this Award for a number of reasons, one of which is an Arbitrator dissent that draws a rebuttal from the majority. That dissent was filed by a Public Arbitrator,

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FINRA Stats, 10/19: Reading the “Stats” for a Clue to 2020
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FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,

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Explained Award: Broker Tagged with Full Liability for Both Note Debt and Settlement of a Customer Claim
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Note cases are pretty common these days, but broker-dealers pursuing and winning on indemnification claims against brokers are not so common. This case has both,

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FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm Seas
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Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

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Talking with PIABA’s Leaders: Issues in the Current Year and the Year Ahead
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At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.

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