News & Analysis as of

Securities Alternative Dispute Resolution (ADR)

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Chris Lazarini Comments on Application of Manifest Disregard of the Law

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former trader fraudulently purchased $1 billion in Apple shares that ultimately forced the closure of the trader's firm, Rochdale Securities. Rochdale...more

Third Circuit Affirms Dismissal Of Suit To Vacate FINRA Arbitration Award

by Carlton Fields on

This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more

Financial Services Weekly News - September 2016

by Goodwin on

Editor's Note - The OCC Takes Another Step Toward a Limited Purpose FinTech Charter. On September 13, in a speech at the Marketplace Lending Policy Summit 2016, Comptroller of the Currency Thomas J. Curry discussed the...more

Second Circuit Court Of Appeals Allows Federal Courts To “Look Through” § 10 FAA Petition To Determine Federal Jurisdiction

by Carlton Fields on

The United States Court of Appeals for the Second Circuit has reversed its own precedent to allow federal courts examining petitions under § 10 of the FAA to “look through” the petition to examine if there is federal...more

Implications of the UK’s Brexit Referendum

by Ropes & Gray LLP on

As autumn approaches and preparation for the next round of Brexit discussions begins, this note summarises the current position and analysis following the UK’s vote to leave the EU on the 23rd June (the “Referendum”). Whilst...more

Circuits Split on “Look-Through” Jurisdiction Over Arbitration Awards

by Burr & Forman on

Within weeks, the Second and Third Circuits reached opposite conclusions over federal jurisdiction to confirm, modify or vacate arbitration awards.  The Second Circuit now allows courts to look through the face of the...more

Who wants to chair a FINRA arbitration

by Fox Rothschild LLP on

Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair. Unfortunately, you will not know the answer to that question until...more

Tokyo Dispute Resolution and Crisis Management Newsletter - July 2016

by King & Spalding on

FCPA Best Practices - The Risks Posed by Third Parties and the Importance of Third-Party Audits - Introduction - Since 2010, the United States government has extracted just shy of $5 billion in corporate...more

Argentina: From International Market Isolation to Promising Opportunities for Investors

by WilmerHale on

Argentina is keen to attract foreign investment. Not only has it recently implemented a series of economic measures, but it has also made changes to its legal framework including the enactment of a new arbitration regulation,...more

FINRA Proposed Increasing Number of Public Arbitrators on Arbitrator Candidate Slates in Customer Cases

by Burr & Forman on

The Financial Industry Regulatory Authority (“FINRA”) recently proposed a change to Rule 12403 of the Code of Arbitration Procedure for Customer Disputes to the Securities and Exchange Commission. FINRA’s proposal is that...more

Business Litigation Reporter - June 2016

by Goodwin on

Goodwin Procter’s Business Litigation Reporter provides timely summaries of key cases and other developments within dedicated Business Litigation sessions and related courts throughout the country – courts within which...more

A case of winning the battle and losing the war: Yukos v Russian Federation

by DLA Piper on

INTRODUCTION - On 18 July 2014, the Permanent Court of Arbitration (PCA) in the Hague found that Russia had deliberately expropriated OAO Yukos Oil Company and awarded three former shareholders of the company (Yukos...more

Newsletter: May 2016

Pleading Common Law Fraud Under Rule 9(b): Conflicting Circuit Court Interpretations - Federal Rule of Civil Procedure 9(b) prescribes the standards for pleading a common law fraud claim. The Rule states that “[i]n...more

International Investment Arbitration in the Middle East: Year in Review 2015

by Bryan Cave on

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 North America: Year in Review 2015

by Bryan Cave on

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 Latin America: Year in Review 2015

by Bryan Cave on

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 Europe: Year in Review 2015

by Bryan Cave on

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 the Commonwealth of Independent States: Year in Review 2015

by Bryan Cave on

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

by Bryan Cave on

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

by Morgan Lewis on

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

by Burr & Forman on

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

by King & Spalding on

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

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