News & Analysis as of

Arbitration Securities and Exchange Commission (SEC) Securities Litigation

Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party, usually chosen by the parties. Typically, parties... more +
Arbitration is a widely-used method for settling disputes between parties. During arbitration, parties submit their dispute to an impartial third person or party, usually chosen by the parties. Typically, parties to arbitration agree in advance to be bound by the arbitrator's decision. Arbitration is an alternative to litigation, but it shares many of the familiar features of litigation. Namely, parties to arbitration hold hearings before neutral decision-makers, present evidence and argue the merits of their position. Parties often choose arbitration due to its perceived advantages over litigation. Those perceived advantages include greater efficiency and flexibility, and lower costs. less -
Rivkin Radler LLP

June 2025 Insurance Update

Rivkin Radler LLP on

We’ve selected five recent insurance decisions for this month’s update. Foreign insurers will be pleased with the Second Circuit’s revamped view of the New York Convention. In finding that the international treaty is...more

Bressler, Amery & Ross, P.C.

FINRA Dispute Resolution Update: The More Things Change . . .

As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA). Originally published in American Bar Association’s Securities Litigation section - March 17th,...more

UB Greensfelder LLP

A Sad Story Of Regulators Simultaneously Doing Too Much And Too Little

UB Greensfelder LLP on

Not too long ago, a single, small BD experienced a bizarre combination of regulatory overzealousness and regulatory indifference, by the SEC and FINRA, respectively. These things, sadly, happen all the time, but what...more

A&O Shearman

Overview Of Cases Of Particular Interest Currently Pending Before The Supreme Court Of The United States

A&O Shearman on

Looking ahead, we preview cases currently pending before the Supreme Court—which have already been accepted for review by the Court—that may be of particular interest to readers of the Need-to-Know Litigation Weekly.  These...more

Cooley LLP

Blog: Mandatory arbitration shareholder proposal goes to court—as Chair Clayton suggested

Cooley LLP on

You might remember this no-action letter to Johnson & Johnson granting relief to the company if it relied on Rule 14a-8(i)(2) (violation of law) to exclude a shareholder proposal requesting adoption of mandatory shareholder...more

Stinson - Corporate & Securities Law Blog

No Action Relief Prompts Clarification from SEC Chair on Mandatory Arbitration

In a novel sequence of events, SEC Chair Jay Clayton issued a statement on February 11, 2019 expressing the Commission’s non-view on mandatory shareholder arbitration provisions implemented by publicly-listed companies. ...more

Dorsey & Whitney LLP

Johnson & Johnson May Exclude Shareholder Proposal for Binding Arbitration on Securities Claims

Dorsey & Whitney LLP on

On February 11, 2019, the Staff of the Division of Corporation Finance granted no-action relief permitting Johnson & Johnson to omit a a shareholder proposal from its proxy statement relating to mandatory arbitration of...more

Ballard Spahr LLP

SEC consumer advocates launch misguided preemptive attack on arbitration clauses

Ballard Spahr LLP on

Having lost the battle to prohibit class action waivers in consumer arbitration agreements, consumer advocates have embarked on a new crusade....more

Mayer Brown Free Writings + Perspectives

Coalition of State Treasurers Oppose Mandatory Arbitration

Although Securities and Exchange Commission Chair Clayton has made clear that the Commission does not intend to focus on addressing mandatory arbitration provisions in the near term, the controversy regarding action in this...more

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