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Attorney's Fees Financial Industry Regulatory Authority (FINRA)

Bracewell LLP

FINRA Facts and Trends

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Understand What’s Happening in the Financial Industry Regulatory World With Commentary and Updates From Bracewell’s Experienced FINRA Team - We are pleased to introduce the inaugural issue of Bracewell’s FINRA Facts and...more

Bass, Berry & Sims PLC

Chris Lazarini Provides Insight on Appointment of Receiver

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Bass, Berry & Sims attorney Chris Lazarini provided additional insight case in which a former investment advisor at UBS sought to prevent the company from collecting on promissory notes the advisor owed to UBS upon his...more

Carlton Fields

Fifth Circuit Affirms Confirmation of Arbitration Ruling in Favor of Ameriprise Financial

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The Fifth Circuit affirmed the confirmation of an arbitration ruling in favor of Ameriprise Financial Services Inc. In 2015, Ameriprise sought a temporary restraining order against Jeremy Walker, a former employee of an...more

Bass, Berry & Sims PLC

Chris Lazarini Further Examines Case Involving Advisor’s Effort to Avoid Paying a Promissory Note

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini examined further developments in a case involving a former UBS investment advisor’s attempt to prevent the company from collecting on promissory notes the advisor owed to UBS upon...more

Bass, Berry & Sims PLC

Chris Lazarini Comments on Court's Remand for Clarification of Arbitration Award

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Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a court took the unusual step of remanding a case to the arbitration panel to explain the rationale behind its award. The Court made the decision because...more

Carlton Fields

Fraud-Free Sunsets: How Financial Professionals Can Deter Financial Elder Abuse in Florida and Reduce Their Own Liability Exposure

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Investment advisers, securities brokers, and other financial professionals who work directly with clients who are age 60 and older have two reasons to learn more about Florida’s financial elder abuse laws....more

Bass, Berry & Sims PLC

Chris Lazarini Comments on Application of Manifest Disregard of the Law

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Bass, Berry & Sims attorney Chris Lazarini commented on a case in which a former trader fraudulently purchased $1 billion in Apple shares that ultimately forced the closure of the trader's firm, Rochdale Securities. Rochdale...more

JAMS

Fees & FINRA

JAMS on

Following are two interesting and recent federal court rulings related to arbitration. Award of Attorney’s Fees Associated with Motion to Confirm Reversed on Appeal - Zurich American Insurance (as subrogee of Vinmar...more

Carlton Fields

FINRA Panel Did Not Exceed Authority Or Manifestly Disregard Law By Failing To Award “Prevailing Party” Attorney’s Fees

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A broker sought to vacate his FINRA compensatory damages award against a broker/dealer because the award did not include his attorney’s fees. The broker believed he was entitled to those fees as the “prevailing party” within...more

Morris James LLP

Court Of Chancery Explains The “Personal Claim” Exception To Advancement Rights

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In the area of what claims are subject to the right to have fees advanced to a former officer or director, there is no more often disputed issue than whether the claim asserted arose out of the role as an officer or director...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest - Volume X, Issue 20

In this issue: - Section 16(b) Decision Provides Important Guidance - FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public - Form BE-10 Filing Deadline Looms ...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

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