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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


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


FINRA Amends Rules to Provide an Option for Simplified Arbitration
  • Katten Muchin Rosenman LLP
  • USA
  • July 27 2018

On July 23, the Financial Industry Regulatory Authority (FINRA) released Regulatory Notice 18-21, which summarizes recent amendments to the Code of


FINRA Proposes To Require Disclosure Of Insurance Information In Arbitrations. Seriously.
  • Ulmer & Berne LLP
  • USA
  • July 26 2018

Once upon a time, FINRA at least pretended that it was interested in maintaining a level playing field for claimants and Respondents in the


FINRA’s “Massive” Discovery Failure Results InAbsolutely Nothing
  • Ulmer & Berne LLP
  • USA
  • July 9 2018

You are not going to believe this one. Here are the unadulterated facts, taken directly from the Order entered by the FINRA Hearing Officer (an Order


PIABA Lawyers Convince Congress Of The Importance Of Them Collecting Their Attorneys’ Fees
  • Ulmer & Berne LLP
  • USA
  • June 1 2018

I have written before of the ferocious effort by PIABA lawyers to fight for their ability to collect attorneys’ fees on contingency matters - FINRA