Menu
All articles tagged '"Exchange Commission"'
10 articles found
A Cooperative Federalism Approach to Shareholder Arbitration
By Beth Graham - August 8, 2018
Zachary D. Clopton, Assistant Professor of Law at Cornell Law School, and Verity Winship, Professor of Law at the University of Illinois College of Law, have published “A Cooperative Federalism Approach to Shareholder Arbitration,” 128 Yale L.J.F. 169 (2018).
CPFB Issues Rule Against Mandatory Arbitration Agreements that Ban Class-Actions
By Beth Graham - July 17, 2017
Last week, the Consumer Financial Protection Bureau (“CFPB”) finalized a new rule that prohibits most credit card issuers and banking institutions from requiring consumers to enter into mandatory arbitration agreements that bar collective action lawsuits.
Mandatory Arbitration in Consumer Finance and Investor Contracts
By Beth Graham - October 14, 2015
Michael S. Barr, Roy F. and Jean Humphrey Proffitt Professor of Law at the University of Michigan Law School, has published “Mandatory Arbitration in Consumer Finance and Investor Contracts,” New York University Journal of Law and Business, Vol. 11, No. 4, 2015.
SEC Seeks Additional Public Comments Over Proposed Changes to Who May Serve as a FINRA Public Arbitrator
By Beth Graham - October 2, 2014
On October 1st, the nation’s Securities and Exchange Commission (“SEC”) reportedly extended its review of a Financial Industry Regulatory Authority (“FINRA”) proposal to revamp how arbitrators are selected in disputes between brokerages and consumers.
FINRA Board Approves New Rule for Selecting Arbitral Panels
By Beth Graham - April 23, 2013
Last week, the Financial Industry Regulatory Authority (FINRA) Board approved a measure that may make it easier for investors to select arbitrators in a dispute against a securities brokerage. The newly approved measure would authorize the parties to a dispute that exceeds $100,000 to select a panel chairman, a public arbitrator, and an arbitrator with industry ties from a FINRA list immediately.
Fifth Circuit Holds Motion to Compel Arbitration Not Enough to Defeat Preliminary Injunction
By Beth Graham - January 5, 2011
The Fifth Circuit Court of Appeals has held that a motion to compel arbitration did not defeat a federal district court’s preliminary injunction. In Janvey v. Alguire, et al., No. 10-10617, (5th Cir. December 15, 2010), the U.S. Securities and Exchange Commission filed suit in U.S. district court against the Stanford Group and other related corporate entities (collectively Stanford) alleging that Stanford perpetrated a multi-billion-dollar Ponzi
Article | FINRA to Propose New Rule For All-Public Arbitration Panels
By Beth Graham - September 30, 2010
Next month, the Financial Industry Regulatory Authority (FINRA) will file a rule proposal to expand a two-year-old Public Arbitrator Pilot Program (pilot program) which would allow all investors filing arbitration claims the option of having an all-public arbitration panel. FINRA’s rule proposal will be filed for approval with the Securities and Exchange Commission. If approved, the rule would allow investors to choose an arbitration panel with t
Arbitration to Begin This Summer in Dispute Over Tobacco Settlement Agreement
By Victoria VanBuren - June 24, 2010
The Richmond Times reports the latest on the tobacco settlement agreement: Financially pressed states might have to return $1.1 billion to Big Tobacco this year, if a review finds the states aren’t trying hard enough to keep a 12-year-old legal settlement from hurting the companies too much. This summer, states and the nation’s Big Three tobacco firms will begin arbitrating a dispute over 2003 payments made under the settlement, the c
SEC Seeks Comments on FINRA’s Arbitration Rule Change
By Victoria VanBuren - June 3, 2010
Via the ADR Prof Blog, we learned that on May 19, the U.S. Securities and Exchange Commission (SEC) published for public comment a FINRA Rule Change Relating to Amending the Codes of Arbitration Procedure to Increase the Number of Arbitrators on Lists Generated by the Neutral List Selection System. Find the text of the proposed rule change here. The comment period expires on June 16, 2010. All Comments should refer to File Number SR-FINRA-2010-02
Obama’s Financial Regulatory Reform and Mandatory Arbitration in Financial Contracts
By Victoria VanBuren - July 1, 2009
Within President Obama’s proposal to reform the financial services sector, A New Foundation: Rebuilding Financial Supervision and Regulation, there is a provision that directs the U.S. Securities and Exchange Commission (SEC) to study the use of mandatory arbitration clauses in investor contracts. Check out Professor Barbara Black’s discussion of the proposal in her post First Look at the Administration’s Financial Regulatory Re
Legal Research
Recent Posts
Search
Legal Research
© 2025, Karl Bayer. All rights reserved. Privacy Policy