Steven J. Pearlman

Steven J. Pearlman

Proskauer Rose LLP

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Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision

On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression (within that forum): whether Dodd-Frank applies...more

11/3/2014 - Appeals Arbitration Arbitration Agreements Commodities Exchange Act Dodd-Frank Oral Argument Retroactive Application Sarbanes-Oxley TD Ameritrade Whistleblowers

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd Frank) amended the whistleblower provision in Section 806 of the Sarbanes-Oxley Act of 2002 (SOX) to state that pre-dispute arbitration agreements that...more

11/26/2012 - Arbitration Agreements FINRA Sarbanes-Oxley SEC Whistleblowers

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