Securities Labor & Employment Alternative Dispute Resolution (ADR)

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When Does an Anti-Arbitration Provision Not Prohibit Arbitration of a Dodd-Frank Whistleblower Claim?

The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010, provides broad whistleblower protections to individuals who report certain possible violations of federal securities laws. Mindful that...more

Third Circuit Affirms Whistleblowers Must Arbitrate Under Dodd-Frank

On December 8, the U.S. Court of Appeals for the Third Circuit held that application of Dodd-Frank’s Anti-Arbitration provision did not apply to causes of action asserted under the Anti-Retaliation Dodd Frank Provision due to...more

FINRA: Firms Should Not Restrict Whistleblower Rights

Why it matters - In a new regulatory notice, the Financial Industry Regulatory Authority (FINRA) reminded regulated firms not to prohibit the exercise of whistleblower rights in settlement agreements with employees and...more

Third Circuit Sizes Up Dodd-Frank’s Anti-Arbitration Provision

On October 24, 2014, in Khazin v. TD Ameritrade Holding Corp, et al., the U.S. Court of Appeals for the Third Circuit heard oral argument on an issue of first impression (within that forum): whether Dodd-Frank applies...more

FINRA Reminds Anti-Whistleblower Provisions Are Not Permitted in Settlement Agreements

FINRA has published a regulatory notice where it reminds firms that it is a violation of FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) to include confidentiality provisions in settlement agreements...more

Dodd-Frank Whistleblower Claims Subject To Arbitration, Key Distinctions Between Dodd-Frank And Sarbanes-Oxley Whistleblower...

Two recent U.S. District Court decisions hold that whistleblower claims under the Dodd-Frank Act are subject to arbitration under an appropriate pre-dispute arbitration agreement. In addition, the first of these decisions...more

Dodd-Frank Whistleblower Claims Subject To Arbitration, Key Distinctions Between Dodd-Frank And Sarbanes-Oxley Whistleblower...

Two recent U.S. District Court decisions hold that whistleblower claims under the Dodd-Frank Act are subject to arbitration under an appropriate pre-dispute arbitration agreement. In addition, the first of these decisions...more

Arbitration Agreements and Whistleblower Protections

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 directed the SEC to establish a “bounty program” for certain individuals who voluntarily provide the SEC with original information that leads to successful...more

N.J. Court Sends Dodd-Frank Whistleblower Claim To Arbitration

The U.S. District Court for the District of New Jersey recently held that the Dodd-Frank Act does not operate retroactively to bar pre-dispute arbitration agreements, and thus required a plaintiff to arbitrate his Dodd-Frank...more

Bon Voyage! Dodd Frank Whistleblower Claim Shipped to Arbitration

In Murray v. UBS Securities, LLC, Judge Failla in the Southern District of New York compelled arbitration of a Dodd-Frank whistleblower retaliation claim, holding that nothing in the anti-retaliation provision, 15 U.S.C....more

BakerHostetler 2013 Year-End Review of Class Actions (and what to expect in 2014)

I. Introduction - Library shelves will someday swell with history books about the U.S. Supreme Court under the leadership of Chief Justice John Roberts. No doubt sensational cases about corporate speech, national...more

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

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

Broker’s Wage and Hour Collective Action Dismissed in Favor of Enforcing Arbitration Agreement

The U.S. District Court for the Southern District of New York recently rejected broker Anthony Arrigo’s putative Fair Labor Standards Act (FLSA) collective action based upon an arbitration provision found in his employment...more

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