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Mandatory Arbitration Clauses › Appeals › Broker-Dealer

Sheppard Mullin Richter & Hampton LLP

Second Circuit Holds Forum Selection Clause Supersedes FINRA’s Mandatory Arbitration Rule

Sheppard Mullin Richter & Hampton LLP on

In Goldman, Sachs & Co. v. Golden Empire Schools Financing Authority, No. 13-797-cv, 2014 WL 4099289 (2d Cir. Aug. 21, 2014), the United States Court of Appeals for the Second Circuit held that a forum selection clause in a...more

Katten Muchin Rosenman LLP

Second Circuit Decision Provides Guidance for Drafting Enforceable Broker-Dealer Agreement Forum Selection Clause

Katten Muchin Rosenman LLP on

On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry Regulatory Authority, Inc. (FINRA) rules mandating arbitration of...more

Katten Muchin Rosenman LLP

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available to Non-Customer

Katten Muchin Rosenman LLP on

On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a broker dealer may be compelled to arbitrate with an institutional counter-party...more

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