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Securities Alternative Dispute Resolution (ADR)

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

Nutter Bank Report, July 2017

CFPB Arbitration Rule Will Prevent Firms From Blocking Class Action Lawsuits - The CFPB has approved a new rule that will prohibit banks and other covered providers of certain consumer financial products and services from...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFPB Issues FInal Arbitration Rule - Who Is Covered and How Does It Affect Your Business? The CFPB, after entertaining numerous comments, issued its final arbitration rule on Monday,...more

Hong Kong court appoints receivers to preserve assets in aid of arbitral proceedings in China

by Hogan Lovells on

The Hong Kong High Court has appointed receivers over shares in a Hong Kong company as an interim measure to preserve the status quo and the value of the shares, pending the outcome of CIETAC arbitration proceedings in...more

SEC Commissioner Supports Mandatory Shareholder Arbitration

Reuters is reporting that SEC Commissioner Michael Piwowar urged IPO companies to request relief from the SEC to include mandatory arbitration provisions for shareholder disputes. Commissioner Piwowar apparently made the...more

Chris Lazarini Comments on Waiver of the Right to Seek Arbitration

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini commented on a case in which the defendant filed fraud and RICO actions in federal court against several persons and entities alleging they defrauded her out of millions of dollars....more

Federal Court Compels Arbitration of Dodd-Frank Whistleblower Claim

In a recent decision, the U.S. District Court for the Western District of Wisconsin held that Dodd-Frank whistleblower claims (Section 922 claims) are subject to mandatory arbitration. Wussow v. Bruker Corp., No....more

Investment Trends in India

On 22 June 2017, Skadden and Khaitan & Co hosted a seminar titled “Investment Trends in India” at the Institute of Directors in London. David Kavanagh QC, global co-head of Skadden’s International Litigation and...more

Financial Services Weekly News - July 2017

by Goodwin on

Editor's Note - Fireworks After the July 4th Holiday. On July 10, the Consumer Financial Protection Bureau (CFPB) issued the highly anticipated final Arbitration Rule, which prohibits the use of mandatory arbitration...more

Financial Services Weekly News - June 2017 #4

by Goodwin on

Editor's Note - Happy Independence Day. “The United States is the only country with a known birthday. All the rest began, they know not when, and grew into power, they know not how... There is no “Republican,” no...more

Singapore Legal Update - May 2017

by Allen & Overy LLP on

MAS Consults on Operationalising the Changes to the Securities and Futures Act - The MAS has suggested that an entity that operates a facility to match trades in respect of products that are not exchange traded...more

Chris Lazarini Discusses Definition of "Customer" under FINRA Rule 12200

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed the court's interpretation of "customer" under FINRA Rule 12200 in a case where a clearing firm sought to avoid arbitration. The court defines a "customer" as one who,...more

Chris Lazarini Provides Insight on Waiving Contractual Right to Arbitration

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini provided insight on factors a court should consider when determining whether a party has waived a contractual right to arbitration. The factors, which are tied to potential prejudice...more

Ignore Investment Structuring at your Peril

by Latham & Watkins LLP on

In a recent challenge to an arbitral award under section 67 of the Arbitration Act 1996 (the Act), the High Court in Ruby Roz Agricol LLP v Republic of Kazakhstan, confirmed that the tribunal had correctly declined...more

Employment Law - March 2017 #2

Continuing Violation Doctrine Keeps Title VII Suit Alive - Why it matters - The U.S. Court of Appeals for the Fifth Circuit allowed a professor to move forward with her Title VII hostile work environment claims...more

First Circuit Affirms District Court’s Confirmation Of Arbitration Award Under The “Look-Through” Test

by Carlton Fields on

The background of this matter could be found here. In sum, Plaintiffs Dr. Luis Ortiz-Espinosa and his wife Maritza Soto-Garcia, the conjugal partnership they formed, Espinosa-Soto, and Luis Ortiz-Espinosa, as trustee of...more

FINRA to Require Web-Based Arbitration Filings

by Burr & Forman on

Effective April 3, 2017, all FINRA arbitration participants (except pro se parties) must use FINRA’s web-based DR-Portal to file and serve documents in both customer and industry arbitrations. ...more

The Gorsuch Nomination: The Return of the Business Friendly Court?

Assuming Judge Gorsuch's confirmation, the Court will add a Justice with extensive commercial litigation experience, a particular expertise in antitrust and securities law, and a track record on the bench that demonstrates a...more

Supreme Court to Hear Class Action Cases Involving Class Action Waivers and Tolling of Statutes of Limitations

The U.S. Supreme Court recently granted certiorari in class action cases involving: (1) class action waivers in employment contracts; and (2) whether filing of a securities class action tolled a statute of repose. In both...more

Employment Law - December 2016

Voters Embrace Minimum Wage Increases, Legalized Marijuana - Why it matters - While employers wait to see the impact of Donald Trump's forthcoming presidency, voters made their feelings clear on two...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Here’s an interesting take on the future of the labor market (especially for an emerging generation that is better with a screen than eye contact)—because robots and AI will be able to take over anything that’s routine,...more

Singapore Legal Update - November/December 2016

by Allen & Overy LLP on

Companies Act to Allow Re-domiciliation Into Singapore - On 26 October 2016, the MOF and the ACRA proposed to amend the Companies Act to allow for inward re-domiciliation of companies. This will allow a foreign company...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

A new trading link dropping next week will give international investors access to more than 800 stocks listed on China’s Shenzhen stock market, the boom/bust venue best known for its “rampant speculation”....more

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

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