Friday, January 27, 2023

A Few Things About AAA Arbitration of RIA (and Other) Claims

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At a recent webinar, representatives of the American Arbitration Association ("AAA") provided several comments about the arbitrati...
Thursday, January 12, 2023

Registered Investment Advisor Claims and American Arbitration Association (AAA)

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The American Arbitration Association (AAA) handles a great number of financial disputes. At a recent seminar, AAA shared some data: the AAA ...
Tuesday, August 30, 2022

2022 Revisions to American Arbitration Association Rules

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The American Arbitration Association  (AAA) has updated its  Commercial Arbitration Rules and Mediation Procedures , effective September 1, ...
Monday, June 27, 2022

Attorneys' Fees under the Uniform Securities Act

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Because of the expense of litigation (and arbitration), a common question is whether attorneys' fees are available to the prevailing par...
Tuesday, June 2, 2020

Update on Securities Arbitration Administered by FINRA

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This  is by no means verbatim, but presents the highlights  of a town hall meeting with Rick Berry, Director of FINRA’s Arbitration Services...
Tuesday, April 7, 2020

Maine Securities Administrator Warns of COVID-19-Related Fraudulent Investment Schemes

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In an April 3, 2020 warning  urging investors to be on guard against an anticipated surge of COVID-19 fraudulent investment schemes, the Mai...
Sunday, February 2, 2020

Maine Joins Other States by Requiring Mandatory Reporting of Suspected Financial Exploitation

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To enhance prompt reporting of financial exploitation to state securities regulators and adult protective services, on April 2, 2019 Maine j...