News & Analysis as of

Arbitration Enforcement Actions

Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party, usually chosen by the parties. Typically, parties... more +
Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party, usually chosen by the parties. Typically, parties to arbitration agree in advance to be bound by the arbitrator's decision. Arbitration is an alternative to litigation, but it shares many of the familiar features of litigation. Namely, parties to arbitration hold hearings before neutral decision-makers, present evidence and argue the merits of their position. Parties often choose arbitration due to its perceived advantages over litigation. Those perceived advantages include greater efficiency and flexibility, and lower costs. less -
Bracewell LLP

FINRA Facts and Trends: April 2024

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more

American Conference Institute (ACI)

[Event] 15th Annual Advanced Forum on Managed Care Disputes and Litigation - May 2nd - 3rd, Chicago, IL

ACI’s Advanced Forum on Managed Care Disputes and Litigation offers an unparalleled learning experience, specifically designed for the MCO legal community. Attend and develop winning legal strategies and business best...more

Foley & Lardner LLP

Enforcing Arbitration Delegation in the Ninth Circuit

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On December 5, 2023, the Ninth Circuit in Bielski, et al. v. Coinbase, Inc., No. 22-15566 (9th Cir. 2023) concluded that federal courts can look to the parties’ agreement as a whole when determining whether the delegation...more

Carlton Fields

Broker Obtains Preliminary Injunction Enjoining FINRA Arbitration Initiated by Non-Signatories to Arbitration Agreement

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Interactive Brokers LLC filed an action in the Southern District of New York seeking preliminary and permanent injunctions against an arbitration proceeding initiated by a group of non-signatories to an agreement between...more

Bracewell LLP

FINRA Facts and Trends: October 2023

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more

Morrison & Foerster LLP - Left Coast Appeals

This Week At The Ninth: Arbitration

This week, the Ninth Circuit considers whether a receiver in an SEC enforcement action is bound by an arbitration agreement signed by the receivership entity. GEOFF WINKLER V. THOMAS D. MCCLOSKEY, ET AL....more

Bracewell LLP

FINRA Facts and Trends: September 2023

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This month,...more

A&O Shearman

UK Russia sanctions: back in the spotlight

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Sanctions and the systems and controls companies have in place to comply with them seem to be back in the spotlight. In addition to guidance recently published by the UK Financial Conduct Authority, a number of recent...more

Troutman Pepper

Securities Industry Arbitrations and Litigation Update: FINRA Reaffirms Its Commitment to Enforcement Actions In Connection with...

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Mindful of the impending retirement of many millions of investors in the “baby boomer” generation, which hold a substantial amount of the world’s wealth, the Financial Industry Regulatory Authority (FINRA) continues to...more

American Conference Institute (ACI)

[Event] 14th Annual Advanced Forum on Managed Care Disputes and Litigation - March 29th - 30th, Chicago, IL

Hosted by ACI, 14th Annual Advanced Forum on Managed Care Disputes and Litigation returns for another exciting year with curated programming that will help you make sense of these developments, and their profound impact on...more

Manatt, Phelps & Phillips, LLP

[Webinar] No Surprises Act Update: The Latest Litigation, Enforcement and Implementation Challenges - February 16th, 3:00 pm -...

The No Surprises Act (NSA), which went into effect January 1, 2022, was designed to protect patients from surprise medical bills when they are treated in out-of-network emergency departments or by out-of-network providers at...more

Mitchell, Williams, Selig, Gates & Woodyard,...

Should You Enforce a Non-compete Agreement Through Arbitration or Litigation? An Examination of the Not-So-Obvious Answer to This...

When a non-compete agreement contains an arbitration clause, this raises the issue of whether the non-compete should be enforced through arbitration or litigation. This is an obvious threshold question with an answer that is...more

Goodwin

Delaware Court of Chancery Holds Buzzfeed Not Bound by Pre-SPAC Merger Employment Agreements

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On October 28, 2022, Vice Chancellor Morgan T. Zurn of the Delaware Court of Chancery ruled that the declaratory action brought by Buzzfeed Inc. against 91 current and former employees is not bound by arbitration provisions...more

Bracewell LLP

FINRA Facts and Trends - October 2022

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution. This...more

Conyers

Cayman Enforcement of Foreign Arbitral Awards: The Pro-Enforcement Objective and Purpose of the Law

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In the recent judgment of Gol Linhas Aereas SA (formerly VRG Linhas Aereas SA) (Respondent) v MatlinPatterson Global Opportunities Partners (Cayman) II LP and others (Appellants) [2022] UKPC 21, the Privy Council upheld the...more

DirectEmployers Association

OFCCP Week In Review: August 2022

The DE OFCCP Week in Review (WIR) is a simple, fast and direct summary of relevant happenings in the OFCCP regulatory environment, authored by experts John C. Fox, Candee Chambers and Cynthia L. Hackerott. In today’s edition,...more

Felicello Law PC

You Can’t Always Get What You Want (In Federal Court)

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We all know that federal courts are courts of limited jurisdiction. What does that mean in the arbitration context? Something new as of March 31st! Federal courts do not have stand-alone jurisdiction to hear any...more

Manatt, Phelps & Phillips, LLP

[Webinar] Health Care Litigation Trends to Watch in 2022…and Beyond - April 27th, 4:00 pm - 5:00 pm ET

Health care is facing a tidal wave of change—from enforcement actions around CARES Act funding to employment issues in a post-COVID workplace to questions around telehealth coverage to controversies over gender identity...more

Akin Gump Strauss Hauer & Feld LLP

A Post-Epic Systems Challenge to Iskanian Has Been Taken Up by the U.S. Supreme Court

In Iskanian v. CLS Transportation Los Angeles, LLC, 59 Cal. 4th 348 (2014), the California Supreme Court held that an arbitration agreement purporting to waive the right to bring a representative action under the Private...more

Eversheds Sutherland (US) LLP

A Goldfish is the Happiest Animal, A Securities Respondent is Not: Ted Lasso, SEC, FINRA, and DOL Enforcement Actions (October...

You know what the happiest animal on Earth is? It's a goldfish. Y'know why? It's got a 10-second memory. Be a goldfish. During the pandemic, we have had a lot of lows, as well as a few highs. And that’s just in pop...more

UB Greensfelder LLP

A Sad Story Of Regulators Simultaneously Doing Too Much And Too Little

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Not too long ago, a single, small BD experienced a bizarre combination of regulatory overzealousness and regulatory indifference, by the SEC and FINRA, respectively. These things, sadly, happen all the time, but what...more

White & Case LLP

Supreme Court of India paves way for enforcement of emergency arbitration awards in India-seated arbitrations

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The Supreme Court of India has ruled that an award made by an Emergency Arbitrator under the SIAC Arbitration Rules is enforceable under the Arbitration and Conciliation Act 1996, and that no appeal would lie against a court...more

UB Greensfelder LLP

SEC Not Only Reverses FINRA Disciplinary Action, But Provides Blueprint For Respondents To Use In Their Defense Of Similar Claims

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My friend and former colleague, Brian Rubin, publishes annually his analysis of FINRA Enforcement cases, spotting trends in terms of the number and types of matters it brings, the sanctions meted out, etc. It is an excellent...more

JAMS

The SEC’s Proposed Exemptive Order for Finders in Private Placements: An Uncertain Future for Regulatory Certainty - Perspectives...

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At age 79, Paul Anka, the crooner and songwriter, is more relevant than ever. In 2020, he appeared on Season 4 of “The Masked Singer,” enjoyed a popular resurgence courtesy of TikTok, reworked his anthem “My Way” for the...more

Jones Day

JONES DAY TALKS®: Private Antitrust Litigation in Europe: The Big Picture

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Private enforcement actions relating to antitrust matters has increased dramatically across Europe in recent years, both as follow-on damages claims in reaction to governmental enforcement actions, or as standalone...more

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