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Arbitration Securities Litigation Financial Services Industry

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 -
Carlton Fields

Fourth Circuit Holds It Lacks Jurisdiction to Consider Petition to Vacate

Carlton Fields on

The Fourth Circuit Court of Appeals recently held that it lacked jurisdiction over a petition to vacate an arbitration award....more

Troutman Pepper Locke

Securities Industry Arbitrations and Litigation Update: FINRA Member Firms Don’t Forget to “Dot Your I’s and Cross Your T’s” in...

Troutman Pepper Locke on

As any Wall Street litigator knows, in the securities industry, it is typical for brokerage firms to incentivize their employed financial advisers with significant upfront compensation at the beginning of a relationship or...more

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