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Arbitration Agreements › Financial Industry Regulatory Authority (FINRA) › Arbitration Awards

Carlton Fields

Court Confirms Arbitration Award, Finding It Was Based in Part on “Plain Error,” but Did Not Amount to Manifest Disregard of the...

Carlton Fields on

The plaintiff commenced an arbitration proceeding with the Financial Industry Regulatory Authority (FINRA) against two of his former investment brokers and their former employers — Concorde and Westminster. The plaintiff...more

Carlton Fields

New York Federal Court Finds Vacatur of Arbitration Award Not Warranted

Carlton Fields on

Michael Miller (“Miller”) filed a petition to vacate an arbitration award against UBS Financial Services Inc. and UBS Credit Corp. (collectively “UBS”) claiming that “the award is unsound because two of the three arbitrators...more

Farrell Fritz, P.C.

Court Confirms Arbitration Award Against Respondent Who Failed to Check Her Mail

Farrell Fritz, P.C. on

A recent decision out of the Suffolk County Commercial Division underscores the importance of staying on top of your mail if you plan on leaving New York for an extended period of time....more

Carlton Fields

Fourth Circuit Refuses To Vacate FINRA Arbitration Award, Despite Party’s Claim That It Had No Opportunity To Participate In...

Carlton Fields on

UBS Financial Services’ motion to vacate a FINRA arbitration award was denied, despite its claims that the panel was improperly chosen and that the panels damages award was flawed in that it did not impose an offset. UBS...more

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