We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 40

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

Second Circuit finds that petition to compel arbitration cannot be voluntarily dismissed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 3 2012

The U.S. Court of Appeals for the Second Circuit affirmed the Southern District of New York’s vacatur of a petitioner’s voluntary notice of dismissal of a petition to compel arbitration

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

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

Eleventh Circuit affirms arbitration dismissal in favor of investor’s estate in clawback suit

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 16 2015

The receiver of hedge funds that were part of a $168 million Ponzi scheme was unable to vacate an arbitration award denying clawback claims brought

Second Circuit rules that Sarbanes-Oxley whistleblower claims are arbitrable

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 17 2008

The plaintiff, defendant’s Director of Internal Audit, believed that defendant’s internal audit department was ineffective and “without independence or objectivity.”

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 compels broker-dealer to arbitrate investors’ claims

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2007

Finding that investors were “customers” of a retail broker-dealer for purposes of the NASD’s Code of Arbitration, a federal district court compelled the broker-dealer to arbitrate the investors’ securities fraud claims

Arbitrability of false endorsement claims to be determined by arbitrator

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

After an insurance company entered into a software license and maintenance agreement with a software company, the software company posted on its website and in other marketing materials “endorsements” attributed to the insurance company’s chief executive officer and another employee, both of whom contended that the endorsements were false and unauthorized

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