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Broker-Dealer › Arbitration › Banks

Shumaker, Loop & Kendrick, LLP

Client Alert: Shumaker Prevails in Asserting Clients' Right to FINRA Arbitration

Shumaker, Loop & Kendrick, LLP on

Sarasota, FL – Shumaker's clients celebrated a significant victory in their efforts to arbitrate claims against subsidiaries of the failed First Republic Bank. Sixteen former First Republic advisors—all of whom were clients...more

Katten Muchin Rosenman LLP

FINRA Proposes Changes to Arbitrator List Selection Process

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The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by...more

Bradley Arant Boult Cummings LLP

Subpoena Responses for Financial Institutions

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Financial services companies, such as banks, credit unions, lenders, finance companies, loan servicers, broker-dealers, and securities firms, often receive subpoenas from parties in litigation involving their customers,...more

Allen Matkins

9th Circuit Holds Issuer Is Investment Bank’s “Customer” And “Actions and Proceedings” Include Arbitrations

Allen Matkins on

In 2005 and 2006, the biggest little city in the world (aka Reno, Nevada) issued approximately $211 million in securities employing Goldman, Sachs & Co. as its sole underwriter and broker-dealer. The financing didn’t work...more

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