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All articles tagged '"securities arbitration"'
13 articles found
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.
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.
Changing the Foundations of Arbitration in Securities Disputes
By Beth Graham - July 14, 2015
Mr. Saleh Jaberi, a PhD candidate in the College of Law and Justice at Victoria University in Australia, and Dr. Bruno Zeller, Professor at the University of Western Australia Law School, Fellow of the Australian Institute for Commercial Arbitration, and Visiting Professor at Stetson Law School in Florida, have published “How Much Can it Be Bent Before Breaking? Changing the Foundations of Arbitration in Securities Disputes,” Pepperdine Dispute R
SEC Commissioner Speaks on Mandatory Arbitration
By Victoria VanBuren - September 22, 2011
Via the Securities Law Prof Blog, we learned of SEC Commissioner’s Elisse B. Walter’s comments on mandatory securities arbitration at the 2011 annual NASAA Conference: Regardless of changes in the relationship between investors and the professionals to whom they turn for advice, disagreements will arise that need to be resolved quickly and fairly. Following the dictates of Dodd-Frank, the SEC intends to thoroughly review the mandatory arbitration
N.D. of Texas Issues Temporary Restraining Order Enjoining FINRA Arbitrations
By Beth Graham - March 7, 2011
The Northern District of Texas has issued a Temporary Restraining Order enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). In Billitteri v. Securities America Inc., et al., No. 3:09-CV-01568-F and related cases, (N.D. Tex., February 18, 2011), a group of representative plaintiffs in a class action lawsuit jointly filed a Motion for Preliminary Approval of a partial class action settlement with s
SEC Approves FINRA Plan to Allow All-Public Arbitration Panels
By Beth Graham - February 2, 2011
Yesterday, the Securities and Exchange Commission (SEC) approved a Financial Industry Regulatory Authority (FINRA) plan to provide investor-claimants with an all-public arbitration panel option. According to Investment News, The approval follows a 27-month pilot program during which Finra gave certain investors the choice of eliminating the industry arbitrator on three-person panels and replace the arbitrator with a public panelist. The Dodd-Fran
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
Fifth Circuit Reinstates NASD Arbitration Award
By Victoria VanBuren - March 4, 2010
The United States Court of Appeals for the Fifth Circuit held that a NASD arbitration panel did not exceed its authority when awarded attorney’s fees directly to counsel. In Institutional Capital Management, Inc. v. Claus, No. 08-20710 (5th Cir. Feb. 11, 2010), Leonard Claus and Institutional Capital management (ICM) entered into an agreement to buy and sell bonds. After a dispute over some bonds that Claus originally purchased to sell to Sterlin
Page Perry: Arbitration or Class Action – Which is Better for Investors?
By Victoria VanBuren - October 28, 2009
Page Perry’s Investment Fraud Lawyer Blog featured last week an interesting and thoughtful post about securities arbitration. A federal judge in Atlanta recently dismissed a class action lawsuit brought against SunTrust for fraud in the sale of auction rate securities. The case was not dismissed on the merits of investors’ claims against SunTrust, but based on technical legal requirements about what it takes to plead a claim. Those requirem
NASAA’s Statement on FINRA’s Arbitration Pilot Program Expansion
By Victoria VanBuren - October 7, 2009
To follow up on our recent posts on securities arbitration (available here and here) we thought that you would like to know that the Financial Industry Regulatory Authority (FINRA) announced on October 5, 2009 the expansion of its two-year pilot program that gives investors who are filing claims the option to select an arbitration panel composed of three public arbitrators instead of two public and one non-public. Read more about the pilot progra
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