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
The Fourth Circuit Court of Appeals recently held that it lacked jurisdiction over a petition to vacate an arbitration award....more
The U.S. Supreme Court has held unanimously in Smith v. Spizzirri that when a district court finds that a lawsuit involves an arbitrable dispute and a party has requested a stay of the court proceedings pending arbitration,...more
I have previously written about issues uniquely affecting individuals who are dually registered as securities representatives (Series 7) and commodities associated persons (Series 3). In an Opinion and Order issued June 4,...more
The plaintiff filed a putative class action for alleged violations of California employment law, and the defendant moved to compel arbitration....more