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Financial Industry Regulatory Authority (FINRA) › AT&T Mobility v Concepcion

Pillsbury Winthrop Shaw Pittman LLP

Citing Concepcion, FINRA Panel OKs Class Action Waivers in Broker-Dealer Customer Arbitration Agreements

Pillsbury Winthrop Shaw Pittman LLP on

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

Hinshaw & Culbertson LLP

FINRA Panel Rules on Charles Schwab's Challenge to FINRA Rules Prohibiting Class Action Waiver Clauses

Hinshaw & Culbertson LLP on

In October 2011, Charles Schwab ("Schwab") began inserting into its customer Account Agreements a class action waiver clause....more

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