News & Analysis as of

Motion to Dismiss Arbitration Financial Industry Regulatory Authority (FINRA)

Carlton Fields

Second Circuit Affirms Dismissal of Challenge to FINRA Award

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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

Quarles & Brady LLP

Prevailing Against FINRA Investor Complaints

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In 2007, the United States Securities and Exchange Commission approved the creation of the Financial Industry Regulatory Authority (FINRA), and the FINRA arbitration forum officially came into being. ...more

Carlton Fields

District Court of Maryland Denies Motion to Dismiss Petition to Vacate Arbitration Award

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The petitioner filed a complaint seeking to vacate an arbitration award, and the respondents moved to dismiss. Despite “the deferential standard of review” given to arbitration awards and the petitioner’s “significantly...more

Carlton Fields

Fifth Circuit Affirms Confirmation of Arbitration Ruling in Favor of Ameriprise Financial

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The Fifth Circuit affirmed the confirmation of an arbitration ruling in favor of Ameriprise Financial Services Inc. In 2015, Ameriprise sought a temporary restraining order against Jeremy Walker, a former employee of an...more

Bass, Berry & Sims PLC

Chris Lazarini Examines Proximate Cause Claims in Wrongful Death Suit Against Broker-Dealer

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini examined a case in which a wrongful death action was brought against J.P. Morgan and related entities after the death of a former broker. Following the suicidal death of the broker,...more

Bass, Berry & Sims PLC

Chris Lazarini Comments on Waiver of the Right to Seek Arbitration

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Bass, Berry & Sims attorney Chris Lazarini commented on a case in which the defendant filed fraud and RICO actions in federal court against several persons and entities alleging they defrauded her out of millions of dollars....more

Carlton Fields

Third Circuit Affirms Dismissal Of Suit To Vacate FINRA Arbitration Award

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This case involved an underlying arbitration before an arbitration panel operating under the Financial Industry Regulatory Authority (“FINRA”) rules, which was brought by Judith and Kenneth Goldman against their financial...more

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