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Financial Services Industry › Arbitration › Broker-Dealer

Shumaker, Loop & Kendrick, LLP

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

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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

Carlton Fields

Fourth Circuit Holds It Lacks Jurisdiction to Consider Petition to Vacate

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

UB Greensfelder LLP

[Webinar] FINRA: A Look Back at 2023 and What’s In Store for 2024 - December 19th, 12:00 pm - 1:00 pm EST

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Join Ulmer partner Alan M. Wolper as he addresses hot topics including FINRA's oversight of Reg BI, trends in enforcement and arbitration filings, and perspective whether FINRA would survive a constitutional challenge....more

UB Greensfelder LLP

[Webinar] FINRA Expungement: A Rundown of Recent Amendments Regarding Expunging Customer Dispute Information - December 14th,...

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Join Michael J. Charlillo as he discusses FINRA's latest expungement process enhancements. He will explore process changes implemented when requesting and obtaining expungement of customer dispute information. Michael will...more

Bressler, Amery & Ross, P.C.

SEC Issues Report on Investment Advisor Arbitration: Is a Change Coming?

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Originally published in American Bar Association. Current Status of Arbitrating Investor Claims - What an arbitration claim against an investor’s financial professional will look like varies significantly depending on...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

Kilpatrick

Broker-Dealers and Investment Advisers Exempted from CFPB’s Arbitration Agreement Rule

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The Consumer Financial Protection Bureau (the “CFPB”) issued a final rule on July 10, 2017 that has received widespread attention. The rule, promulgated pursuant to section 1028(b) of the Dodd-Frank Act, generally regulates...more

Carlton Fields

CFPB Grabs for SEC/CFTC Turf

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In May, the Consumer Financial Protection Bureau (CFPB) proposed a ban on “mandatory arbitration” contract clauses that make financial products consumers waive their right to join class actions. Broker-dealers,...more

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