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US 9th Circuit holds Google beyond question: map tack not hearsay

USA - June 24 2015 A Ninth Circuit Panel held that a GPS location tack generated out of court on a Google-Maps satellite image is not hearsay under the Federal Rules of…

Second Circuit holds subsequent forum-selection clause trumps FINRA arbitration requirement

USA - August 25 2014 The Second Circuit joined the Ninth in holding that a subsequent contractual forum-selection clause requiring federal-court litigation trumps the…

FINRA Arbitrations: Behind Claimant “Win” Statistics

USA - January 25 2016 FINRA reported that, for 2015, Claimants won about half of private securities arbitrations: 47% for all-public panel decisions; 45% for…

FINRA Defends Mandatory Arbitrations; Threatens Discipline

USA - August 4 2016 In a July 22 Notice, FINRA took umbrage at a growing line of Court decisions suggesting that a later or more-specific forum selection clause in an…

“No news is bad news” on BSA compliance

USA - February 27 2015 Addressing SIFMA’s Anti-Money Laundering (“AML”) conference Wednesday, SEC Enforcement Director Andrew Ceresney said that – when it comes to AML –…