General Business Securities Alternative Dispute Resolution (ADR)

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NC Business Court Stays Arbitration Pending Ruling On Piercing The Veil Claim

The Order in Cold Springs Ventures, LLC v. Gilead Sciences, Inc., 2014 NCBC 10 is a procedural conundrum wrapped up in arbitration issues. The Plaintiffs in the Business Court are the respondents in a separate arbitration...more

9th Circuit Holds Issuer Is Investment Bank’s “Customer” And “Actions and Proceedings” Include Arbitrations

In 2005 and 2006, the biggest little city in the world (aka Reno, Nevada) issued approximately $211 million in securities employing Goldman, Sachs & Co. as its sole underwriter and broker-dealer. The financing didn’t work...more

Securities Litigators Who Do Not Understand Insurance Coverage Could Pay Dearly

There was a time not that long ago when lawyers representing parties in securities litigation and arbitration did not have to concern themselves too much with insurance coverage issues. Federal and state statutory securities...more

Crude Allegations: Corruption in the Energy Trading Sector

The world-wide energy trading sector, where traders match physical supply and demand of energy by purchasing, reselling, and moving commodities (crude oil and refined products, natural gas, coal, and even electricity) across...more

Cross-border derivatives disputes: ISDA Arbitration Guide 2013 model clauses offer more certainty

The 2013 International Swaps and Derivatives Association (ISDA) Arbitration Guide has been published following a two-year consultation with ISDA members. The Guide provides model clauses for various forms of arbitration...more

Canada Ratifies the ICSID Convention: Enhancing Legal Rights and Protections for Canadian Investments Abroad

Introduction - If the effectiveness of any dispute-settlement process is to be measured by the existence of impartial and well-defined rules, finality of the outcome and enforceability of the decision, Canada’s...more

2013 ISDA Arbitration Guide Published

On 9 September 2013, the International Swaps and Derivatives Association, Inc. (ISDA) published its 2013 ISDA Arbitration Guide. The decision to introduce optional arbitration clauses for the 1992 and 2002 ISDA Master...more

Finally, Membership Will Have its Privileges: Canadian Investors Abroad to Benefit as Canada Joins ICSID

Canada has announced, on November 1, 2013, that it has ratified the ICSID Convention and will at long last become a member of the principal international rule-making and administrative body for disputes between investors and...more

ISDA Adopts Model Arbitration Clauses for Use with ISDA Master Agreements

Following extensive consultation with its members, in September 2013 the International Swaps and Derivatives Association (“ISDA”) published seven model international arbitration clauses (the “Model Arbitration Clauses”) for...more

Interest Rate Swap Agreements: Draft Information Letter of the Russian Supreme Commercial Court

This alert discusses the recently published Draft Information Letter of the Presidium of the Russian Federation Supreme Commercial Court (the “SCC”) entitled “Dispute Resolution Issues Arising out of Interest Rate Swap...more

Congress Could Nix Mandatory Arbitration

In light of the absence of SEC action on topic, Rep. Keith Ellison, D-Minn., a member of the House Financial Services Committee, has introduced the Investors Choice Act of 2013....more

Working to restore the efficiencies of arbitration

Commercial arbitration began as an economical and fair alternative to court trials. Critics claim that is has become increasingly lengthy, expensive an more like litigation. Many arbitrators, ADR providers and counsel are...more

Legal Alert: In a Class of Their Own: the Impact of the Supreme Court's October 2012 Term on Class Actions

During its recently concluded October 2012 term, the Supreme Court of the United States decided seven cases that are likely to have a significant impact on class action practice. This term’s decisions addressed evidentiary...more

Bernstein Shur Business and Commercial Litigation Newsletter #29

We are pleased to present the 29th edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight a Supreme Court decision addressing the waiver of class action rights, the SEC’s new...more

Beyond Dispute - June 2013: Buy-Sell Agreements Can Avoid Uncertainties in Business Valuations

A business valuation can reward years of work and commitment by timely determining the proper value of an interest to a withdrawing equity holder. It can also end in years of dispute in the courts with former business...more

Corporate and Financial Weekly Digest - June 21, 2013

In this issue: - CFTC Extends No-Action Relief for Certain Transactions and Trading Platforms - NFA Issues a Notice Regarding Segregated Account Balance Reporting - CME Group Introduces Self-Match...more

Editorial: High Court Ruling Keeps Miami On Arbitration Map

Every practitioner knows that arbitration is a creature of contract, allowing parties to negotiate a framework for private dispute resolution long before any controversies arise. Origianlly Published in Daily Business...more

SunTrust Avoids FINRA Arbitration Concerning The Sale of RMBS

On May 16, Judge Naomi Reice Buchwald of the United States District Court for the Southern District of New York granted a permanent injunction against hedge fund Turnberry Capital Management LP (Turnberry) in its attempt to...more

Court Holds Non-Parties May Enforce Arbitration Agreement Even Though The General Rule Is That They Can’t

The Financial Industry Regulatory Authority, more commonly known as FINRA, has adopted a Code of Arbitration for Customer Disputes (FINRA has a separate code for industry disputes). Under FINRA’s Customer Code, a claim by or...more

New EU rules on online and alternative dispute resolution - a win/win?

On 22 April 2013, the Council of the European Union (the “Council”) adopted a regulation on online dispute resolution (“ODR”) and a directive on alternative dispute resolution (“ADR”). Tonio Borg, the EU's Commissioner for...more

Tenth Circuit Holds Underlying Securities Claims Interrelated

In its recent decision in Brecek & Young Advisors, Inc. v. Lloyds of London Syndicate 2003, 2013 U.S. App. LEXIS 9599 (10th Cir. May 13, 2013), the United States Court of Appeals for the Tenth Circuit, applying New York law,...more

Corporate and Financial Weekly Digest - March 29, 2013

In this issue: - Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information - SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin...more

Controversial FINRA Decision Invalidates Rules Against Class Action Waiver in Arbitration Agreements

A hearing panel of the Financial Industry Regulatory Authority (“FINRA”) recently issued a decision that has been lauded and decried as the death knell for class actions by securities investors. In 2011, Charles Schwab & Co....more

Citing Concepcion, FINRA Panel OKs Class Action Waivers in Broker-Dealer Customer Arbitration Agreements

A Financial Industry Regulatory Authority (“FINRA”) hearing panel held that FINRA’s own rules prohibiting judicial class action waivers in broker-dealer customer arbitration agreements are preempted by the Federal Arbitration...more

Keep Sticking to the Four Corners - Extrinsic Evidence of Parties' Prior Conduct Cannot Alter the Interpretation of an Unambiguous...

In BDCM Fund Advisor, L.L.C. v. Zenni, No. 602116/08 (N.Y. Sup. Ct. Nov. 15, 2012), Judge Eileen Bransten granted a motion for partial summary judgment for the defendants/counterclaim-plaintiffs, James J. Zenni (“Zenni”) and...more

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