Jurisdiction, Arbitration, Financial Industry Regulatory Authority (FINRA)

Second Circuit Affirms Dismissal of Challenge to FINRA Award

Carlton Fields on 6/10/2025

The Second Circuit Court of Appeals has affirmed the dismissal of a challenge to a FINRA arbitration award after concluding that federal courts lacked jurisdiction over the matter....more

Fourth Circuit Holds It Lacks Jurisdiction to Consider Petition to Vacate

Carlton Fields on 2/4/2025

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

Employment Litigation Roundup: February 2024

Seward & Kissel LLP on 3/1/2024

Former HR Executive Sues Financial Services Company for Equal Pay Violations in New Jersey Federal Court - A former head of human resources sued a financial services company for allegedly underpaying her relative to her...more

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

UB Greensfelder LLP on 10/21/2021

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

Commercial Division Confirms Arbitration Award Entered Against Party Who Objected to the Jurisdiction of the Arbitrators but...

Patterson Belknap Webb & Tyler LLP on 11/30/2020

In Fava v. Morgan Stanley Smith Barney, Inc., Justice Barry R. Ostrager of the New York County Commercial Division denied Petitioner Frank Fava’s (“Fava”) motion to vacate an arbitration award issued by the Financial Industry...more

Ninth Circuit Considers Jurisdiction To Hear Appeal Of Decision Vacating Arbitration Award And Remanding For A New Arbitration

Carlton Fields on 1/30/2018

The Ninth Circuit has found that it had jurisdiction to hear an appeal of a district court decision vacating an arbitration award and remanding the case for a new arbitration....more

First Circuit Affirms District Court’s Confirmation Of Arbitration Award Under The “Look-Through” Test

Carlton Fields on 2/14/2017

The background of this matter could be found here. In sum, Plaintiffs Dr. Luis Ortiz-Espinosa and his wife Maritza Soto-Garcia, the conjugal partnership they formed, Espinosa-Soto, and Luis Ortiz-Espinosa, as trustee of...more

Court Dismisses Challenge Of FINRA Arbitration Award For Lack Of Jurisdiction

Carlton Fields on 6/22/2015

In a case involving a FINRA arbitration between investors and their financial advisor, Judge Anita S. Brody of the United States District Court for the Eastern District of Pennsylvania found that she did not have the...more

Jurisdiction › Arbitration › Financial Industry Regulatory Authority (FINRA)

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