Mignon Lunsford

Burr & Forman

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FINRA Proposes Amendments to Arbitration Codes in an Attempt to Increase Efficiency and Effectiveness of Arbitration Process

The Financial Industry Regulatory Authority (“FINRA”) recently filed a proposed rule change with the Securities and Exchange Commission (“SEC”) to amend Rules 12214 and 12601 of the Code of Arbitration for Customer Disputes...more

6/23/2015 / Arbitration , Financial Industry Regulatory Authority (FINRA) , Proposed Amendments , Securities and Exchange Commission (SEC)

Burr Alert: FINRA Amends Subpoena And Arbitrator Order Rules

In its recent Regulatory Notice 13-04, the Financial Industry Regulatory Authority ("FINRA") announced amendments to its Customer and Industry Codes of Arbitration Procedure related to subpoenas and arbitrator orders for the...more

3/27/2013 / Arbitration , Discovery , Document Productions , Financial Industry Regulatory Authority (FINRA) , Subpoenas

Burr Alert: Doctrinal Split Over Nonparty Discovery In Arbitration Continues

The Federal Arbitration Act (FAA) was enacted to ensure the enforceability and validity of arbitration agreements. Through the enactment of this sweeping legislation, Congress signaled its approval of arbitration as a form of...more

2/26/2013 / Arbitral Authority , Arbitration , Discovery , Federal Arbitration Act , Non-Parties , Split of Authority , Subpoenas

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