Arbitration Agreements, FINRA | JD Supra Law News

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

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

Corporate and Financial Weekly Digest - December 21, 2012

by Katten Muchin Rosenman LLP on 12/24/2012

In this issue: - Nallengara to Replace Cross as Corp. Fin. Chief - FINRA Rule Relating to Private Placements of Securities Effective December 3 - Additional Guidance on FINRA’s Suitability Rule - No-Action...more

The Southern District Sends FLSA Claims To Arbitration

by James G. Ryan | Cullen and Dykman LLP on 12/21/2012

A recent ruling from the Southern District of New York provides further clarification regarding the use of arbitration clauses in employment agreements. On December 4, 2012, District Judge Barbara S. Jones granted UBS AG’s...more

Southern District of New York Compels Arbitration of FLSA Collective Action Claims on an Individualized Basis

by Rebecca R. Hirschklau, Eric Raphan | Sheppard Mullin Richter & Hampton LLP on 12/12/2012

On December 4, 2012, Southern District of New York District Judge Barbara S. Jones, granted a motion to compel arbitration on an individual basis in a class and collective action brought pursuant to, among other things, the...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

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

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Arbitration Agreements › FINRA