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Results: 1-10 of 64

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


CFPB Proposes to Prohibit Arbitration Clauses by Banks
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2016

The Consumer Financial Protection Board proposed rules that would prohibit certain providers of financial products and services to consumers from


Third party may not compel signatories to an arbitration agreement
  • Katten Muchin Rosenman LLP
  • USA
  • May 7 2010

The U.S. Court of Appeals for the Second Circuit reversed a district court’s grant of individual co-defendants’ motion to dismiss and to compel arbitration between plaintiff and entity co-defendant, on the grounds that the movants (1) were non-signatories to the Fulfillment Agreement between plaintiff and entity co-defendant which contained the arbitration provision they were attempting to enforce, and (2) had explicitly disclaimed any right to participate in the arbitration they were seeking to compel


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 holds mandatory broker dealer arbitration not available to non-customer
  • Katten Muchin Rosenman LLP
  • USA
  • May 30 2014

On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a


FINRA requests comments on proposed changes to Forms U4 and U5
  • Katten Muchin Rosenman LLP
  • USA
  • May 2 2008

The Financial Industry Regulatory Authority (FINRA) has proposed for comment changes to registration Forms U4 and U5


Court holds that issue of arbitrability is to be decided by arbitrator
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2007

Plaintiff sued in court to compel defendant to proceed with the arbitration of claims that plaintiff asserted in an arbitration


Arbitrator must determine applicable law and venue
  • Katten Muchin Rosenman LLP
  • USA
  • October 26 2007

In a dispute between the parties to an agreement containing a broad arbitration clause, the district court determined that disputes regarding the applicable law and venue for the arbitration were matters for the arbitrator to decide, and, accordingly, dismissed the plaintiff’s lawsuit seeking a declaration that the arbitration must proceed in Virginia under Virginia law


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.”


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