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Second Circuit holds contractual forum selection clause supersedes FINRA mandatory arbitration rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 29 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

Second Circuit decision provides guidance for drafting enforceable broker-dealer agreement forum selection clause

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 4 2014

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry

SEC approves new FINRA Rule permitting arbitrators to refer serious matters during arbitration proceedings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

The Securities and Exchange Commission approved a new rule of the Financial Industry Regulatory Authority that permits an arbitrator, during the

Defendant waived arbitration rights by failing to assert affirmative defense

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 20 2009

Customers of NECC Telecom (NECC), a telephone service provider, brought an action against NECC asserting, among other things, violations of the Federal Communications Act of 1934 and the Federal Communications Commission's Truth-in-Billing Act

Recent developments for litigation risk mitigation: the U.S. Supreme Court’s prescription

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 4 2014

Over the past three years, since mid-2010, the Supreme Court has handed down a series of related decisions that, taken together, constitute an

FAA does not authorize arbitrators to compel pre-hearing discovery from non-parties

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 5 2008

In reversing a district court’s order enforcing an arbitral subpoena under the Federal Arbitration Act (FAA), 9 U.S.C. Section 7, the Second Circuit Court of Appeals held that the FAA does not authorize arbitrators to issue pre-hearing document discovery subpoenas to entities that are not parties to such proceedings

Court finds arbitration clauses cell phone contracts do not apply to collection agency

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 19 2011

Customers who had signed cell phone contracts with Verizon and AT&T, brought a class action against the collection agency that the phone companies hired to collect unpaid fees and charges

District court rules that individual LLC member is third-party beneficiary and bound by arbitration agreement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 21 2012

The US District Court for the Southern District of Florida confirmed that third-party beneficiaries of a contract containing an arbitration clause may be

State law governs determination of whether non-signatory can be compelled to arbitrate

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 26 2010

The Fifth Circuit Court of Appeals has reversed and remanded a ruling by a district court that an injured worker could not be compelled to arbitrate against his former employer's insurer

SEC approves FINRA’s request to increase the number of arbitrators on NLSS lists

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 16 2010

The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority rule proposal to increase the number of arbitrators on lists generated by the "Neutral List Selection System," a computer system that generates random lists of arbitrators from FINRA's roster of arbitrators for arbitration cases