Alternative Dispute Resolution (ADR) Securities

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International Investment Arbitration in the Commonwealth of Independent States: Year in Review 2015

International investment arbitration – also known as investment treaty arbitration or investor-State arbitration – is a procedure whereby foreign investors may seek a binding adjudication of claims against host States that...more

International Investment Arbitration in Asia: Year in Review 2015

International investment arbitration – also known as investment treaty arbitration or investor-State arbitration – is a procedure whereby foreign investors may seek a binding adjudication of claims against host States that...more

Securities Industry Employment Arbitration

In the securities industry, the majority of all employment disputes are resolved through binding arbitration. This mandatory arbitration system is managed through a unique industry forum under the self-regulatory entity...more

Orrick's Financial Industry Week in Review

CFPB Proposes Prohibition on Mandatory Consumer Arbitration Clauses - On May 5, 2016, the Consumer Financial Protection Bureau (CFPB) issued and sought comment on proposed rules prohibiting mandatory arbitration clauses...more

Crowdfunding Begins on May 16, 2016

Funding portal registration is now available through FINRA. This LawFlash discusses funding portals, which are the intermediaries through which crowdfunding will occur, specifically regarding the registration process...more

FINRA Proposes Arbitration Rule Change to Permit Offset of Awards

Last week, FINRA sought approval from the SEC for a proposed change to the FINRA arbitration rules, under which monetary awards requiring the parties to pay each other damages would be offset, so the party owing the larger...more

Fifth Circuit: Diversity Jurisdiction Over FINRA Award Based on Demand

The Fifth Circuit Bar Association’s summary reports: “Appellants were investors who suffered financial losses as a result of R. Allen Stanford’s Ponzi scheme. In their arbitration complaint, they sought $80 million in...more

Tokyo Dispute Resolution and Crisis Management Newsletter - April 2016

Energy Charter Treaty Arbitration - Claims Against Spain and Italy as a Result of Alterations to their Renewable Energy Legislation - In recent years, there have been a raft of Energy Charter Treaty (“ECT”)...more

Investment in Iran After Implementation Day

January 16, 2016, marked the Implementation Day that recognised the certification by the International Atomic Energy Agency that Iran had met its obligations under the July 2015 Joint Comprehensive Plan of Action (JCPOA), a...more

You Can’t Always Get What You Want: Parties Cannot Change Scope of Judicial Review of Arbitration Awards Under Massachusetts...

In a decision that will affect commercial arbitration agreements across the Commonwealth, the Massachusetts Supreme Judicial Court (“SJC”) recently held in Katz, Nannis & Solomon, P.C. v. Levine that judicial review of...more

Polish Government considers termination of all the bilateral investment treaties – will this affect foreign investments in Poland?

The Polish Government’s announcement that it would consider terminating its bilateral investments treaties (BITs) with other countries has been the focus of a great deal of attention in the last few weeks....more

MLB Litigation Brief: Class Action Questions Open After Scalia’s Death, Arbitration Fees and American Rule & More

2015 Witnesses Record Securities Class Actions: The National Economic Research Associates, Inc. (NERA) recently released its report, Recent Trends in Securities Class Action Litigation: 2015 Full-Year Review, detailing the...more

Are You Ready to Implement the New EU Rules on Alternative Dispute Resolution?

On 15 February 2016, the European Commission’s new online dispute resolution (“ODR”) platform for consumer disputes with traders will go live. From this date, all online traders and online marketplaces established in the EU...more

Financial Services Weekly News - February 2015 #2

Regulatory Developments - CFPB Announces Steps to Improve Checking Account Access - On Feb. 3, the CFPB announced that it was taking three steps to expand checking account access to the approximately 10 million...more

Orrick's Financial Industry Week in Review

Financial Industry Developments - FHFA, Fannie Mae and Freddie Mac Announce Independent Dispute Resolution Program - On February 2, the Federal Housing Finance Agency (the "FHFA") announced that Fannie Mae and...more

Your daily dose of financial news The Brief – 2.5.16

Jobs report Friday again. Here are the 5 Things the Journal told you to watch – WSJ (and NYTimes)... The Upshot’s not saying that a 2016 recession is inevitable, but if it does happen, this may be the path that takes us...more

FINRA Arbitrations: Behind Claimant “Win” Statistics

FINRA reported that, for 2015, Claimants won about half of private securities arbitrations: 47% for all-public panel decisions; 45% for majority-public panels. A colleague and securities mediator, Dana Pescosolido, recently...more

Arbitration Provision Which Completely Prohibited Any Discovery Enforced By NC Business court.

I don't draft arbitration provisions in agreements, but if I did I would not draft one like the one in Taggart v. Physicians Pharmacy Alliance, Inc. Not because it turned out to be unenforceable, but because it was found to...more

Filing Of Four Lawsuits Over Ten Years Did Not Waive Right To Arbitrate Where “Litigation Machinery” Had Not Been Invoked

Grigsby & Associates appealed an order confirming an arbitration award of compensatory damages and attorney fees to M Securities, in a dispute relating to underwriting fees owed in a municipal bond transaction. Grigsby...more

The Delaware Rapid Arbitration Act: Quick and Easy – But Does it Work in the VC/PE Context?

The Delaware Rapid Arbitration Act (DRAA), effective as of May 2, 2015, is a recent arbitration statute that promises to be popular among parties to a wide range of business agreements. The DRAA is intended to be used...more

Legal Trends: Litigation & Dispute Resolution

In 2016, regulated persons in Canada are increasingly likely to find themselves facing prosecution before tribunals, rather than in courts, and facing significant exposure to monetary penalties in those...more

FINRA-DR Task Force Report on Securities Arbitrations

FINRA’s Dispute Resolution Task Force issued its Final Report in mid-December. The Report reflects the group’s consideration of wide-ranging issues affecting the nation’s principle dispute-resolution forum for broker-dealers,...more

FINRA Arbitration Task Force Fails To Reach Consensus On Many Major Issues

The FINRA Dispute Resolution Task Force issued its final report last week, making certain recommendations designed to improve the arbitration process. More notably, however, the Task Force reported that it was unable to reach...more

Energy Newsletter - November 2015

Not Quite Left Out to Dry: Remedies Under International Investment Treaties Available to Renewable Energy Investors Harmed by Retroactive Legislative Changes - Introduction: In recent years, project developers,...more

Your daily dose of financial news The Brief – 11.16.15

Global stocks are down—but not dramatically—this morning in the continuing aftermath of the tragic weekend attacks in Paris – Bloomberg... News emerged Friday afternoon that Barclays and a proposed class over...more

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