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Financial Industry Regulatory Authority (FINRA) Arbitration Procedural Rules Arbitrators

McGlinchey Stafford

Codes of Arbitration Procedure: FINRA Announces Amendments

McGlinchey Stafford on

On February 6, 2024, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 24-03, which announced certain amendments to the Codes of Arbitration Procedure (the Codes). Among those were changes to the...more

Carlton Fields

Court Affirms FINRA Arbitration Award to Charles Schwab, Finding No Evident Partiality or Other Arbitrator Misconduct

Carlton Fields on

Thomas Sanduski petitioned to vacate a Financial Industry Regulatory Authority arbitration award of $418,518 to Charles Schwab, claiming that one of the arbitrators was partial to Charles Schwab and that the panel was guilty...more

UB Greensfelder LLP

What Happens When Potential Arbitrators Don't Answer The Phone

UB Greensfelder LLP on

I think that most lawyers who handle arbitrations, no matter what side of the table they occupy, would agree that one of the most important components of the case – perhaps the most important – is the selection of the...more

Carlton Fields

Court Denies Petition to Vacate Arbitration Award Based on Judicial Estoppel

Carlton Fields on

This case arises out of plaintiff John B. Napoleone’s failure to repay a sign-on bonus of $100,000 to his former employer, defendant S2K Financial LLC, under the terms of his employment agreement. S2K commenced an arbitration...more

UB Greensfelder LLP

Dog Bites Man: FINRA's Proposed Amendments To Code Of Arbitration Procedure Put Customers' Interests Ahead Of Members'

UB Greensfelder LLP on

As I have mentioned before, several times, PIABA is deathly concerned with the fact that sometimes customers who prevail in arbitrations are unable to collect their awards, which typically happens when the respondent firm...more

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