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Individual Retirement Account (IRA) Arbitration

Carlton Fields

Second Circuit Affirms Order Compelling Arbitration, Rejects As Waived Arguments Not Made Before Trial Court

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The Second Circuit Court of Appeals had no difficulty affirming a district court’s order compelling the executor of an estate to arbitrate his claims based on an arbitration clause contained in an IRA application signed by...more

Bass, Berry & Sims PLC

Chris Lazarini Examines Stay of Litigation in Simultaneous Proceedings

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini examined a case in which the plaintiff filed a FINRA arbitration against his broker alleging suitability, breach of fiduciary duty, fraud, failure to supervise, and other claims. The...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Arbitration Clause's Application to Non-Signatory

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a case involving a Plaintiff's suit against a broker-dealer involving his deceased mother's IRA account. Although Plaintiff was a non-signatory to the IRA account...more

Carlton Fields

For Life Insurers and Agents – A Summary of Predicted Litigation Under the DOL’s Proposed Fiduciary Rule

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The Department of Labor’s recent Proposed Rule (the “Proposal”), which defines the term “fiduciary” as it applies to persons who provide “investment advice” to ERISA plans and IRAs, will impact the likelihood and severity of...more

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