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Arbitration clause in one agreement governed dispute under related agreement
  • Katten Muchin Rosenman LLP
  • USA
  • March 7 2008

Plaintiff sued defendants for, among other things, securities fraud in connection with its purchase of an unregistered security in one of the defendant limited liability companies (LLC


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


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


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


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 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


Sixth Circuit affirms decision to enforce arbitration provision in retiree benefit dispute
  • Katten Muchin Rosenman LLP
  • USA
  • August 2 2013

The US Court of Appeals for the Sixth Circuit recently affirmed a district court's decision to grant defendant-appellee TRW Vehicle Safety Systems


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


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


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