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Investment Adviser › Federal Arbitration Act

UB Greensfelder LLP

A Fish Out Of Water? A Futures Clearing Firm In A FINRA Arbitration

UB Greensfelder LLP on

I have previously written about issues uniquely affecting individuals who are dually registered as securities representatives (Series 7) and commodities associated persons (Series 3). In an Opinion and Order issued June 4,...more

Carlton Fields

Enforcement of DOL’s New Best Interest Contract Exemption’s Anti-Arbitration Condition is Enjoined

Carlton Fields on

A number of lawsuits have been brought challenging aspects of the United States Department of Labor’s "fiduciary rule," which expanded the definition of "fiduciary" of an employee benefit plan or individual retirement account...more

Proskauer - Employee Benefits & Executive...

Fifth Circuit Vacates DOL Fiduciary Rule

Proskauer - Employee Benefits & Executive... on

In a 2-1 decision, the U.S. Court of Appeals for the Fifth Circuit vacated the Department of Labor’s fiduciary rule, including the expanded definition of “investment advice fiduciary” and the associated exemptions. The...more

Carlton Fields

Alabama Supreme Court Reverses Arbitration Award Where Arbiter Failed To Make Required Disclosures

Carlton Fields on

In a case involving a dispute between a not-for-profit corporation administering a self-insured group workers’ compensation fund and their investment advisor and broker-dealer, the Supreme Court of Alabama granted the fund’s...more

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