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Federal courts split on whether Dodd-Frank’s bar on arbitration of whistleblower retaliation claims under Sarbanes-Oxley is retroactive

Sutherland Asbill & Brennan LLP
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USA
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October 9 2012

The Dodd-Frank Wall Street Reform and Consumer Protection Act has cast the enforceability of many employer arbitration agreements into doubt

FINRA’s all public panel option is now available in all customer cases

Sutherland Asbill & Brennan LLP
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USA
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February 8 2011

The Securities and Exchange Commission recently approved a rule change that allows claimants to choose an arbitration panel made up entirely of public arbitrators

Look on the bright side: analyzing the pros and cons of a ban on mandatory arbitration clauses in the securities industry

Sutherland Asbill & Brennan LLP
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USA
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November 4 2009

The number of new arbitrations filed with FINRA through August 2009 is up 65 percent over the same time period last year

Highlights from the September 23, 2008, FINRA dispute resolutions neutral call-in workshop

Sutherland Asbill & Brennan LLP
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USA
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September 24 2008

Linda Feinberg, President, Financial Industry Regulatory Authority, Inc. (“FINRA”) Dispute Resolution, Inc., John M. Gannon, Senior Vice President, FINRA Office of Investor Education, and Laura Gansler, Associate Vice President, FINRA Emerging Regulatory Issues, shared program updates with over 1,700 arbitrators yesterday during a FINRAsponsored phone-in workshop

FINRA updates arbitrators on efforts to improve efficiency of arbitrations

Sutherland Asbill & Brennan LLP
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USA
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September 24 2008

Linda Feinberg, President, Financial Industry Regulatory Authority, Inc. (“FINRA”) Dispute Resolution, Inc.; John M. Gannon, Senior Vice President, FINRA Office of Investor Education; and Laura Gansler, Associate Vice President, FINRA Emerging Regulatory Issues, shared program updates with over 1,700 arbitrators yesterday during a FINRAsponsored phone-in workshop

The pending NASDNYSE merger and broker-dealer forum selection clauses in arbitration agreements

Sutherland Asbill & Brennan LLP
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USA
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February 13 2007

The merger between the New York Stock Exchange, Inc. and the National Association of Securities Dealers, Inc. is expected to become final in the second quarter of 2007, and the resulting Self-Regulatory Organization will begin operations under a new name

SEC approves changes to NASD subpoena rule and allows comments until February 1, 2007, on additional amendments

Sutherland Asbill & Brennan LLP
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USA
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January 12 2007

After a year and a half, 38 comment letters and four amendments to the proposed rule, the SEC announced on January 3, 2007, that it has approved some of NASD’s proposed changes to Rule 10322 of the NASD Code of Arbitration Procedure, pertaining to subpoenas and the power to direct appearances, and has approved Amendment No. 4 to the same rule on an accelerated basis

Search results

Federal courts split on whether Dodd-Frank’s bar on arbitration of whistleblower retaliation claims under Sarbanes-Oxley is retroactive

FINRA’s all public panel option is now available in all customer cases

Look on the bright side: analyzing the pros and cons of a ban on mandatory arbitration clauses in the securities industry

Highlights from the September 23, 2008, FINRA dispute resolutions neutral call-in workshop

FINRA updates arbitrators on efforts to improve efficiency of arbitrations

The pending NASDNYSE merger and broker-dealer forum selection clauses in arbitration agreements

SEC approves changes to NASD subpoena rule and allows comments until February 1, 2007, on additional amendments

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