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Results:1-10 of 485

Staying in front of FINRA claims by seniors
  • Reed Smith LLP
  • USA
  • December 12 2018

The number of arbitrations filed annually with the Financial Industry Regulatory Authority (FINRA) by customers against their broker-dealers has, over


Commercial Division Holds that Failure to Request Rationale for Arbitration Award Makes It Virtually Unreviewable on Manifest Disregard Ground
  • Patterson Belknap Webb & Tyler LLP
  • USA
  • November 14 2018

Parties to arbitration proceedings at times decide to forego a written decision by the arbitration panel explaining the basis for their arbitration


11th Circuit Denies Access to FINRA Arbitration where Dispute did not Arise out of the FINRA Member's Business Activities
  • Bressler, Amery & Ross PC
  • USA
  • November 7 2018

The Eleventh Circuit's latest arbitration-related decision is a brush-back of the claimants securities bar's efforts to extend the breadth of who can


All’s Fair When It Comes To Arbitrator Ranking
  • Ulmer & Berne LLP
  • USA
  • October 30 2018

I just read an article about a research study conducted of FINRA arbitrations by three people associated with Harvard, Stanford, and the University of


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


The Eleventh Circuit Court of Appeals Answers When Would-Be ‘Customers’ May Bring a FINRA Arbitration Against FINRA Members and Associated Persons
  • Greenberg Traurig LLP
  • USA
  • October 2 2018

Last week, the Eleventh Circuit U.S. Court of Appeals affirmed a Florida district court’s order permanently enjoining two offshore trusts from


11th Circuit Answers When Would-Be ‘Customers’ May Bring a FINRA Arbitration Against FINRA Members and Associated Persons
  • Greenberg Traurig LLP
  • USA
  • October 2 2018

Last week, in Pictet Overseas, Inc. v. Helvetia Trust, the Eleventh Circuit U.S. Court of Appeals affirmed a Florida district court’s order


FINRA Plays Guessing Game With Expungement Waiver Request
  • Ulmer & Berne LLP
  • USA
  • September 24 2018

When a registered rep contacts us about seeking expungement of customer complaints from his or her CRD record, we always respond that expungement is


New Special Proceeding Option for Simplified FINRA Arbitrations
  • Bressler, Amery & Ross PC
  • USA
  • September 10 2018

Beginning September 17, 2018, a new “Special Proceeding” option will be available to parties filing simplified FINRA arbitrations (i.e., claims that


Third Circuit Affirms Right to Arbitrate Before FINRA
  • Bressler, Amery & Ross PC
  • USA
  • August 8 2018

Usually, it is the broker dealer who seeks to compel arbitration, but not always. On August 7, 2018, in a precedential opinion, the Third Circuit