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SCOTUS Backs Employee Class Action Waivers: Next Steps for Financial Services Employers
  • Epstein Becker Green
  • USA
  • October 5 2018

In May, the U.S. Supreme Court ruled in Epic Systems Corp. v. Lewis that employers may lawfully require employees to sign arbitration agreements that


Whiplash: When a Court Finds That the Parties’ Claims Are Within the Scope of a Valid Arbitration Agreement, But It Will Not Compel Arbitration
  • Mintz
  • USA
  • April 17 2018

Is there such a thing as an arbitration joke? Here is a test. Two plaintiffs walk into a court, claiming that each was wrongfully terminated by a bank


Bridging the Week by Gary DeWaal: January 8 to 12, and 16, 2018 (FINRA Examination Priorities Crypto-Exchange Suit Treasury Secretary Speaks Bitcoin)
  • Katten Muchin Rosenman LLP
  • USA
  • January 15 2018

Last week, the Financial Industry Regulatory Authority disclosed its examination priorities for this year. FINRA’s focus will include, among a wide


Broker-dealer sanctioned by FINRA for sharing confidential customer information in connection with a class action lawsuit
  • Katten Muchin Rosenman LLP
  • USA
  • January 26 2015

Scottrade, Inc. agreed to pay a fine of US $200,000 and various undertakings to resolve an enforcement action brought by the Financial Industry


Class-action arbitration waivers after American Express v. Italian Colors Restaurant
  • Briggs and Morgan
  • USA
  • June 26 2013

Last week the United States Supreme Court issued its opinion in American Express v. Italian Colors Restaurant affirming that arbitration clauses


Ninth Circuit holds that stock brokers cannot open up outside trading accounts
  • Sherman & Howard LLC
  • USA
  • April 15 2013

In McDaniel v. Wells Fargo Investments, et al., No. 11-17017, (9th Cir. April 9, 2013), the Ninth Circuit Court of Appeals affirmed the dismissal of


FINRA: the FAA requires enforcement of judicial class action waiver in pre-dispute arbitration agreement but does not preempt FINRA rules permitting consolidation of multiple parties' claims
  • Proskauer Rose LLP
  • USA
  • March 7 2013

On February 21, 2013, the Financial Industry Regulatory Authority (FINRA) issued a written decision finding that the Federal Arbitration Act (FAA)


FINRA enforcement appeals hearing panel decision regarding class-action waiver provisions
  • Briggs and Morgan
  • USA
  • March 6 2013

The Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers recently held that new class-action waiver provisions in Charles


FINRA decision permits class action waivers
  • Epstein Becker Green
  • USA
  • March 5 2013

Mandatory class action waivers may have received an important seal of approval as the result of a recent decision arising in the financial services


FINRA hearing panel upholds class-action waiver in view of FAA and Supreme Court precedent but not consolidation waiver
  • Kelley Drye & Warren LLP
  • USA
  • March 4 2013

A flurry of news articles hit the wires over the past week announcing the long-anticipated FINRA Hearing Panel decision against Charles Schwab &