Securities Law, Administrative Law, Alternative Dispute Resolution (ADR)

Welcome to the Party? FINRA Invites Investment Advisers to Utilize its Arbitration Procedures

by Michael B. Koffler, S. Lawrence Polk, Brian L. Rubin | Sutherland Asbill & Brennan LLP on 12/8/2012

Originally published in the Investment Adviser Association Newsletter on December 3, 2012. The Financial Industry Regulatory Authority (FINRA) recently issued guidance (Guidance) stating that it will now accept requests...more

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

by Lloyd B. Chinn, Harris M. Mufson, Steven J. Pearlman | Proskauer - Whistleblowing & Retaliation on 11/26/2012

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

Energy Newsletter - August 2012

by King & Spalding on 8/1/2012

In This Issue: - DISPUTE RESOLUTION: - International Arbitration: Threats to Investment Protection in the EU Energy Sector - Securities Litigation: Securities Litigation and the Energy Sector -...more

Amendments to the HKSFC Code of Conduct

by Dechert LLP on 5/25/2012

Following the conclusion of a two-month public consultation period, the Hong Kong Securities and Futures Commission (SFC) announced on 21 May 2012 amendments to the Code of Conduct for Persons Licensed by, or Registered with,...more

SEC Approves Amendments to FINRA Arbitration Rule

by Orrick, Herrington & Sutcliffe LLP on 4/24/2012

On April 20, pursuant to the Dodd-Frank Act, the SEC approved amendments to FINRA Rule 13201 of the Code of Arbitration Procedure for Industry Disputes (Industry Code). The amendments provide that a dispute arising under a...more

Summary of Selected Programs from SIFMA Compliance & Legal Society’s 2012 Annual Seminar

by Sutherland Asbill & Brennan LLP on 4/11/2012

On March 18 - 20, 2012, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,300 securities industry participants and observers, the seminar...more

Mediation—Coming to a Financial Services Dispute Near You: Legislation, Regulation, and Economics Will Drive the Trend to...

by JAMS, The Resolution Experts on 2/6/2012

In 2012, we no doubt will see the continuation of a significant trend towards the use of mediation to resolve financial services disputes. A perfect storm of economic, legislative, and regulatory conditions has been...more

Legal Alert: SEC Rule Proposes to Preclude Certain Collective Action Claims under FINRA Arbitration Rules

by FordHarrison on 1/12/2012

The Securities and Exchange Commission (SEC) has published a proposed rule applicable to arbitrations conducted by the Financial Industry Regulatory Authority, Inc. (FINRA). See 77 Fed. Reg. 1773. The rule would preclude...more

A Work in Progress: Evolving Responsibilities in the Retail Broker-Dealer/Customer Relationship

by JAMS, The Resolution Experts on 5/9/2011

The enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act1 (Dodd-Frank Act or Act) has accelerated the process of erasing the distinction between a registered investment adviser and a "mere" broker...more

Summary of Selected Programs from SIFMA Compliance & Legal Division’s 2011 Annual Seminar

by Sutherland Asbill & Brennan LLP on 4/18/2011

On March 20-23, 2011, the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society hosted its annual seminar. Drawing some 1,700 securities industry participants and observers, the seminar...more

FINRA’s All Public Panel Option Is Now Available in All Customer Cases

by Sutherland Asbill & Brennan LLP on 2/9/2011

The Securities and Exchange Commission recently approved a rule change that allows claimants to choose an arbitration panel made up entirely of public arbitrators. This change is applicable to all current customer cases in...more

SEC Approves New FINRA Arbitration Panel Selection Rule

by Sedgwick LLP on 2/8/2011

As we explained in our posts dated October 8 and 28, 2010, FINRA proposed a rule last year that would allow for the selection of all-public arbitraiton panels in disputes involving investors and brokers. The SEC provided its...more

FINRA Considering Amendments to Motion Rules to Confirm Right to File Reply Papers

by Sedgwick LLP on 12/6/2010

Currently, FINRA’s motion rules do not affirmatively provide a moving party with an opportunity to reply to a response to a motion. However, as a matter of practice, FINRA staff will forward a reply to the arbitrator upon...more

The Market Meltdown and Mutual Fund Investors: Likely Claims and Several Potential Defenses

by Sutherland Asbill & Brennan LLP on 4/26/2010

According to the Financial Industry Regulatory Authority (FINRA), 2009 witnessed a significant increase in arbitration filings and complaints by mutual fund investors. Contrary to past experience, mutual funds now make the...more

SEC Rules For Losses Caused by Stock Brokers

by Las Vegas, Personal Injury Lawyer, Howard... on 6/26/2009

On behalf of the Public Investors Arbitration Bar Association (PIABA), I am pleased to comment on the above-referenced proposed changes to the Suitability Rule and the Know Your Customer Rule, FINRA Rules 2111 and 2090. PIABA...more

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Securities Law › Administrative Law › Alternative Dispute Resolution (ADR)