Securities, Arbitration Agreements

Considerations for Use of Arbitration Agreements to Curtail Class Claims

Carlton Fields on 7/23/2019

May 21, 2019, marks the one-year anniversary of the U.S. Supreme Court’s decision in Epic Systems Corp. v. Lewis, which upheld the use of class action waivers in employee arbitration agreements....more

Supreme Court to Hear Class Action Cases Involving Class Action Waivers and Tolling of Statutes of Limitations

Robinson+Cole Class Actions Insider on 1/19/2017

The U.S. Supreme Court recently granted certiorari in class action cases involving: (1) class action waivers in employment contracts; and (2) whether filing of a securities class action tolled a statute of repose. In both...more

Still Threatened: Arbitration Clauses in Securities Customer Agreements

Carlton Fields on 6/19/2015

In a report to Congress released in March, the Consumer Financial Protection Bureau (CFPB) takes aim at consumer agreements that require disputes to be resolved by arbitration. The CFPB generally does not have...more

3rd Circuit Holds Dodd-Frank Retaliation Claim Subject to Arbitration

Stinson - Corporate & Securities Law Blog on 12/22/2014

In Khazin v. TD Ameritrade the United States Court of Appeals for the Third Circuit held that securities-related retaliation claims brought under Dodd-Frank pursuant to 15 U.S.C. § 78u-6(h)(1)(B)(i) are subject to arbitration...more

When Does an Anti-Arbitration Provision Not Prohibit Arbitration of a Dodd-Frank Whistleblower Claim?

Littler on 12/17/2014

The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, 2010, provides broad whistleblower protections to individuals who report certain possible violations of federal securities laws. Mindful that...more

Citing Concepcion, FINRA Panel OKs Class Action Waivers in Broker-Dealer Customer Arbitration Agreements

Pillsbury Winthrop Shaw Pittman LLP on 2/28/2013

A Financial Industry Regulatory Authority (“FINRA”) hearing panel held that FINRA’s own rules prohibiting judicial class action waivers in broker-dealer customer arbitration agreements are preempted by the Federal Arbitration...more