Alternative Dispute Resolution (ADR) Civil Rights Finance & Banking

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3d Cir.: Dodd-Frank Anti-Arbitration Provisions Do Not Apply To Dodd-Frank Whistleblower Retaliation Claims

On December 8, 2014, the Third Circuit ruled that Dodd-Frank’s anti-arbitration provisions do not invalidate pre-dispute arbitration agreements with respect to whistleblower retaliation claims brought pursuant to the...more

Third Circuit Issues First Appellate Decision Compelling Arbitration of Dodd-Frank Whistleblower Claim

In Khazin v. TD Ameritrade, No. 14-1689, 2014 WL 6871393 (3rd Cir. Dec. 8, 2014), the Third Circuit affirmed a lower court’s decision compelling arbitration of a Dodd-Frank whistleblower retaliation claim. This is the first...more

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

FINRA Issues Guidance Notice To Warn Against Settlements Barring Whistleblower Tips

This month, FINRA issued guidance notice 14-40 to reminds firms that “it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

Take 5 Newsletter: Five Documents That Financial Services Employers Should Revisit Now

With summer here, including its long days and blazing heat, many thoughts may turn to beaches, sunshine, and lazy afternoons. The summer may also be a good time for employers—especially those in the financial services...more

Employment Law

Second Circuit: Inability to Sit for Long Periods Can Trigger ADA Coverage - Why it matters: Can an employee’s inability to sit for a prolonged period of time constitute a disability under the Americans with...more

Financial Services Law -- Jan 17, 2014

Community Banks and the Volcker Rule: What’s Next? - For now, banks that have investments in CDO securities that are issued by funds that are invested in trust preferred securities (TruPS CDOs) have dodged a bullet. On...more

Burr Alert: Top 10 Bank Hidden Employment Issues

Demographic market concentration trends, regulatory changes, and business condition developments raise legal issues your bank's lawyer may not be aware of; here are my top ten: 10. Reconsider arbitration policy...more

InfoBytes, April 29,2011 - Weekly In-depth review of news & developments in the financial services industry

Topics In This Issue • Federal Issues • Courts • Firm News • Miscellany • Mortgages • Banking • Litigation • Criminal Enforcement Action Federal Issues FTC Returns $1.5 Million to Hispanic...more

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