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Results: 1-10 of 59

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


Delaware Court of Chancery holds forum selection clause trumps prior-filed action doctrine
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2015

The Delaware Court of Chancery recently upheld a non-exclusive forum selection clause and denied a motion to dismiss despite a prior-filed action


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


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


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


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


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


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


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


Texas district court deems arbitration agreement enforceable
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2013

The US District Court for the Southern District of Texas recently held that a dispute between a group of employers and a former employee should be