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Fourth Circuit Refuses to vacate FINRA arbitration award, despite party’s claim that it had no opportunity to participate in selection of arbitrators and challenges to damages calculation

USA - December 27 2016 UBS Financial Services’ motion to vacate a FINRA arbitration award was denied, despite its claims that the panel was improperly chosen and that the…

Party Cannot Appeal Decision That District Court Did Not Make Regarding Motion To Vacate Arbitration Award

USA - December 29 2016 The Sixth Circuit has declined to rule on a motion to vacate an arbitration award, which was brought at the same time as a successful motion to…

New and Disruptive Technologies: The Care and Feeding of the New Economy [Expect Focus - Vol. I, Winter 2016]

USA - May 5 2016 The Consumer Financial Protection Bureau (CFPB ) has taken its first UDAAP action against a consumer financial service provider related to data…

Whitney Fore, Kimberly J. Gustafson, Thomas C. Lauerman, April Y. Walker, Dawn B. Williams

At the state level, is a fixed-index annuity?

USA - March 25 2015 The so-called Harkin Amendment to the Dodd-Frank Act was intended to keep fixed-index annuities outside the SEC's jurisdiction. But the issue remains…

Illinois Courts: Fixed Indexed Annuities Are Not Securities

USA - October 13 2016 In 2009, the Securities and Exchange Commission (SEC) attempted to regulate fixed indexed annuities (FIAs) as securities by issuing Rule 151A…