Third Circuit Finally Rules on J&J’s Rejection of Shareholders’ Arbitration Proposal
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The issue of shareholder arbitration is in the news again, this time another court decision on Johnson &

...Read More

SEC Revamps FINRA’s Expungement Procedures
on

By David E. Robbins[1]

Since the February 23, 2023 publication in Securities Arbitration Alert of my article “FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks,” FINRA filed amendments to those rules and the Securities and Exchange Commission (“SEC”) approved FINRA’s major “modification” to “the current process relating to the expungement of customer dispute information.”[2]   This article explains just what the SEC has approved and the implications for financial advisers seeking such “extraordinary relief.”

...Read More

SEC Seems to be Facing a Late June Deadline to Report to Congress on Investor Adviser Arbitration
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

By our reckoning, the SEC may be facing a looming late June deadline to report to Congress on investment adviser arbitration.

...Read More

AAA Case Stats 2022
on

By Richard P. Ryder, Esq.

The American Arbitration Association reports quarterly with detailed data on the cases it closes under its Consumer &

...Read More

Indiana Supreme Court: After-Added PDAA and Class Action Waiver in Bank’s Account Agreement Not Enforceable
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

A unanimous Indiana Supreme Court holds that a predispute arbitration agreement (“PDAA”) and class action waiver unilaterally added by the bank to its account agreement were not enforceable.

...Read More

Eleventh Circuit Reverses Course on Grounds to Vacate Under UN Convention
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

Overruling prior Circuit precedent, the Eleventh Circuit finds that the grounds set forth in FAA section 10 are the sole basis for challenging “foreign” awards under the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (“UN Convention”),

...Read More

Read Our Recent Blog