Securities, Financial Industry Regulatory Authority (FINRA), Arbitration

First Circuit Affirms District Court’s Confirmation Of Arbitration Award Under The “Look-Through” Test

Carlton Fields on 2/14/2017

The background of this matter could be found here. In sum, Plaintiffs Dr. Luis Ortiz-Espinosa and his wife Maritza Soto-Garcia, the conjugal partnership they formed, Espinosa-Soto, and Luis Ortiz-Espinosa, as trustee of...more

FINRA to Require Web-Based Arbitration Filings

Burr & Forman on 2/8/2017

Effective April 3, 2017, all FINRA arbitration participants (except pro se parties) must use FINRA’s web-based DR-Portal to file and serve documents in both customer and industry arbitrations. ...more

Third Circuit Affirms Dismissal Of Suit To Vacate FINRA Arbitration Award

Carlton Fields on 9/21/2016

This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more

Prevailing in an Era of Regulatory Enforcement – Balancing Risk and Compliance [Expect Focus – Vol. II, July 2016]

Carlton Fields on 7/26/2016

IN THE SPOTLIGHT - - SEC Sanctions Unregistered EB-5 Investments Broker SECURITIES - - FINRA to Assess Member Firms’ Culture - SEC Seeks Fund Responses to Distribution-In-Guise Guidance ...more

Securities Industry Employment Arbitration

Orrick, Herrington & Sutcliffe LLP on 5/27/2016

In the securities industry, the majority of all employment disputes are resolved through binding arbitration. This mandatory arbitration system is managed through a unique industry forum under the self-regulatory entity...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

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

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