Securities Law, Alternative Dispute Resolution (ADR)

Corruption in The Energy Sector: Criminal Fines, Civil Judgments, And Lost Arbitrations

by Gordon Kaiser | JAMS, The Resolution Experts on 5/24/2013

Synopsis - This article examines the anti-bribery legislation of three countries, the United States, Canada, and the United Kingdom. The legislation of the three countries is compared and virtually all the criminal...more

English court supports enforcement of arbitral award, granting worldwide injunction requiring disclosure of assets

by Amanda Cowell, Jason Yardley | White & Case LLP on 5/24/2013

This morning, Mr Justice Field handed down his decision in the case of Cruz City 1 Mauritius Holdings v Unitech Limited and others [2013] EWHC 1323 (Comm), confirming the jurisdiction of the English courts to order a...more

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

by Keith Paul Bishop | Allen Matkins Leck Gamble Mallory & Natsis... on 5/24/2013

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?

by Susan McLean | Morrison & Foerster LLP on 5/15/2013

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

by Traub Lieberman Straus & Shrewsberry LLP on 5/14/2013

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

Business Litigation Report -- March 2013

by Quinn Emanuel Urquhart & Sullivan, LLP on 4/3/2013

In This Issue: - Firm News: Quinn Emanuel Recognized as a “2013 Go-To Law Firm for Top 500 Companies” and Quinn Emanuel Named Law360 Class Action Practice Group of the Year - Main...more

Corporate and Financial Weekly Digest - March 29, 2013

by Katten Muchin Rosenman LLP on 4/1/2013

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

Dodd-Frank News - March 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

by Rachel Cash, David Elliott, Kristin Peters, Jordan Teague | Burr & Forman on 3/27/2013

In This Issue: - Recent Cases ..CFTC Jurisdiction Under the Commodity Exchange Act ..Dodd-Frank Amendment to the TILA ..Preemption ..Say-On-Pay Voting ..Pre-Dispute Arbitration Agreements ...more

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

by Kristen Wenger | Fowler White Boggs P.A. on 3/12/2013

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

Bernstein Shur Business and Commercial Litigation Newsletter #25

by Paul McDonald, Daniel J. Murphy | Bernstein Shur on 2/28/2013

We are pleased to present the 25th edition of the Bernstein Shur Business and Commercial Litigation Newsletter. This month, we highlight financial services industry news and developments, including continued support for...more

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

by Jessica R. Bogo, Sarah A. Good | Pillsbury Winthrop Shaw Pittman LLP on 2/28/2013

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

FINRA Panel Rules on Charles Schwab's Challenge to FINRA Rules Prohibiting Class Action Waiver Clauses

by Gregory Eisenreich | Barger & Wolen on 2/25/2013

In October 2011, Charles Schwab ("Schwab") began inserting into its customer Account Agreements a class action waiver clause....more

Business Litigation Report -- January 2013

by Quinn Emanuel Urquhart & Sullivan, LLP on 2/7/2013

In This Issue: Shifting the Growing Costs of E-Discovery; Quinn Emanuel Continues the Expansion of International Arbitration Practice with the Addition of Stephen Jagusch; Aesthetic Functionality and the Use of “Color...more

Bill on Bankruptcy: Junk Debt Interest Rates at 30-Year Low [Video]

by Bloomberg Law on 1/30/2013

Jan. 30 (Bloomberg) -- Interest rates for junk debt reached a 30-year low in the last week, as Lee Pacchia and Bloomberg News bankruptcy columnist Bill Rochelle discuss on their new video. Financially struggling companies...more

"Revised HSR Thresholds Announced"

by Steven Albertson, Rita Sinkfield Belin, Matthew Hendrickson, Brian Mohr, Joseph Nisa, Neal Stoll | Skadden, Arps, Slate, Meagher & Flom LLP on 1/11/2013

On January 10, 2013, the Federal Trade Commission (FTC) announced the revised thresholds for determining whether companies are required to notify federal antitrust authorities about a transaction under the Hart-Scott-Rodino...more

The Canada-China Foreign Investment Promotion and Protection Agreement: Investor-State Dispute Settlement Provisions

by Michael Woods | Heenan Blaikie LLP on 1/10/2013

Negotiations for a bilateral Foreign Investment Promotion and Protection Agreement [“FIPA”] between Canada and China have been ongoing for over a decade. An agreement was finally signed on September 9, 2012 during Prime...more

Private Equity Newsletter - Fall/Winter 2012 Edition: Negotiating Private Equity and M&A Deals in the Middle East

by Rodolphe R.A. Pellerin, Chris P. Sioufi | Dechert LLP on 12/19/2012

After a number of ebullient years of activity until late 2007, the Middle Eastern private equity industry is facing new challenges as fund-raising is getting tougher and investors across the board have become more demanding....more

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

by Kevin Puvalowski | Sheppard Mullin Richter & Hampton LLP on 12/18/2012

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

Lawyer: Madoff May Be One of My Clients' Better Investments [Video]

by Bloomberg Law on 12/18/2012

Dec. 18 (Bloomberg) -- Arthur Jakoby, Co-Chair of the Securities and Commodities Litigation and Regulatory Practice Group at Herrick Feinstein LLP, talks with Bloomberg Law's Spencer Mazyck about his representation of Beacon...more

Tips for Mediating a Securities Class Action

by Bruce Friedman on 12/9/2012

As every litigator and experienced mediator can attest, no two mediations are the same. In fact, the mediation process can vary greatly from practice area to practice area. I have mediated class actions, insurance disputes,...more

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

District Court Finds Class Action Waiver Clauses in Employment Agreements Are Permissible Under FINRA Rules 13204(a) and (b)

by Gregory Eisenreich | Barger & Wolen on 12/7/2012

On December 4, 2012, in Cohen v. UBS Financial Services, Inc., et al, 12-CIV-2147 ("Cohen"), the United States District Court for the Southern District of New York addressed whether Rules 13204(a) and (b) of the FINRA Code of...more

Proskauer - Whistleblowing & Retaliation

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Securities Law › Alternative Dispute Resolution (ADR)

Corruption in The Energy Sector: Criminal Fines, Civil Judgments, And Lost Arbitrations

English court supports enforcement of arbitral award, granting worldwide injunction requiring disclosure of assets

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

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

Tenth Circuit Holds Underlying Securities Claims Interrelated

Business Litigation Report -- March 2013

Corporate and Financial Weekly Digest - March 29, 2013

Dodd-Frank News - March 2013: Dodd-Frank Wall Street Reform And Consumer Protection Act Monthly Update

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

Bernstein Shur Business and Commercial Litigation Newsletter #25

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

FINRA Panel Rules on Charles Schwab's Challenge to FINRA Rules Prohibiting Class Action Waiver Clauses

Business Litigation Report -- January 2013

Bill on Bankruptcy: Junk Debt Interest Rates at 30-Year Low [Video]

"Revised HSR Thresholds Announced"

The Canada-China Foreign Investment Promotion and Protection Agreement: Investor-State Dispute Settlement Provisions

Private Equity Newsletter - Fall/Winter 2012 Edition: Negotiating Private Equity and M&A Deals in the Middle East

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

Lawyer: Madoff May Be One of My Clients' Better Investments [Video]

Tips for Mediating a Securities Class Action

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

District Court Finds Class Action Waiver Clauses in Employment Agreements Are Permissible Under FINRA Rules 13204(a) and (b)

FINRA Rule Amended: Whistleblower Claims Not Subject To Mandatory Arbitration

Arbitrators Labeling Your Securities “Crap” Does Not Entitle You To Vacate The Award

Expert’s Trick (changed damage calculation) Does Not Entitle Arbitration Loser to a Treat (a/k/a vacatur)

Bill on Bankruptcy: Junk Debt Interest Rates at 30-Year Low [Video]

Lawyer: Madoff May Be One of My Clients' Better Investments [Video]

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