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Results: 1-10 of 38

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

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

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

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

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

Idaho district court holds that arbitration requirement is subject to limited judicial review

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 4 2012

The United States District Court for the District of Idaho held that, under Ninth Circuit law, an arbitration award is judicially reviewable under the Federal Arbitration Act even where the arbitration agreement at issue contained language describing the arbitrator’s award as “final and binding” and not subject to appeal

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

Contractual right to arbitration forfeited by refusal to respond to discovery requests

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2009

A federal district court denied defendants’ motion to compel arbitration of a contractual dispute pursuant to the contract’s mandatory arbitration clause where the same defendants had defaulted in an arbitration proceeding commenced by plaintiffs two years ago involving the same dispute

SEC considers arbitration policy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 20 2007

On April 16, the Wall Street Journal reported that the Securities and Exchange Commission is currently exploring a new policy that would permit companies to resolve shareholder complaints through arbitration, presumably limiting class actions

Arbitration award based on contract provision not addressed by parties upheld

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 9 2009

Plaintiff, a vice president of sales and marketing, commenced an arbitration against his employer (i2) alleging that i2 had failed to pay him approximately $2.7 million in sales commissions due under his Account Manager Compensation Plan (the Contract