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All articles tagged '"FINRA"'
36 articles found
Circuit Split Widens Over Securities Broker-Dealer Attempts to Avoid FINRA Arbitration
By Beth Graham - September 11, 2018
The United States Court of Appeals for the Third Circuit has deepened a circuit split regarding whether a securities brokerage may deny clients access to the Financial Industry Regulatory Authority (“FINRA”) arbitral forum using a forum-selection clause.
Non-Lawyer Advocates Representing Parties in Dispute Resolution
By Beth Graham - June 6, 2018
Elayne E. Greenberg, Assistant Dean for Dispute Resolution, Professor of Legal Practice, and Director of the Hugh L. Carey Center for Dispute Resolution at St. John’s University School of Law, has written an interesting article titled “Acts Like a Lawyer, Talks Like a Lawyer... Non-Lawyer Advocates Representing Parties in Dispute Resolution,” NYSBA New York Dispute Resolution Lawyer, Vol. 11, No. 1 (Spring 2018); St. John's Legal Studies Research
FINRA Releases New Report Regarding Unpaid Arbitration Awards
By Beth Graham - February 9, 2018
Yesterday, the Financial Industry Regulatory Authority (“FINRA”) published a report stating between 22 and 30 percent of arbitration awards issued through the organization's forum went unpaid between 2010 and 2016.
Dallas COA Upholds Confirmation of FINRA Arbitration Panel’s Award
By Beth Graham - January 15, 2018
Texas’ Fifth District Court of Appeals in Dallas has affirmed a lower court’s order confirming an arbitration award in a securities case.
FINRA Seeks Public Comment Regarding Proposed Amendments to Arbitration Rules
By Beth Graham - November 10, 2017
The Financial Industry Regulatory Authority (“FINRA”) has requested public comment regarding two proposed amendments to the organization’s arbitration rules.
Fourth Circuit Upholds $900K FINRA Arbitration Award After Bank Fails to Weigh in on Arbitral Panel
By Beth Graham - November 28, 2016
A unanimous panel of the United States Court of Appeals for the Fourth Circuit has reportedly upheld a contested $900,000 Financial Industry Regulatory Authority (“FINRA”) arbitration award.
Couple Awarded $331,000 in Compensatory Damages Following FINRA Arbitration
By Beth Graham - July 14, 2016
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a wealth management adviser to pay a couple $331,000 in compensatory damages for making unsuitable, high-risk investments.
Fifth Circuit Holds Diversity Jurisdiction Exists After FINRA Issues $10K Arbitration Award
By Beth Graham - April 21, 2016
The United States Court of Appeals for the Fifth Circuit has ruled that federal diversity jurisdiction existed after the Financial Industry Regulatory Authority (“FINRA”) issued a $10,000 arbitration award.
The Historical Basis of Securities Arbitration as an Investor Protection Mechanism
By Beth Graham - February 18, 2016
Jill Gross, Professor of Law at Pace Law School, has published “The Historical Basis of Securities Arbitration as an Investor Protection Mechanism,” Journal of Dispute Resolution, Forthcoming.
Dispute With Dallas Broker Must Be Arbitrated Under FINRA Rules Despite Letter Agreement Designating AAA Arbitration
By Beth Graham - September 24, 2015
Texas’ Fifth District Court of Appeals has ruled that a dispute between a licensed securities broker and an investment company must be arbitrated before FINRA rather than the AAA.
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