By Ellen Slipp*
Author’s note: This article was originally written for the Practising Law Institute (“PLI”) seminar “Securities Arbitration 2020” which was held on September 10,
The Fifth Circuit holds that the District Court was correct when it applied the “look through” standard to determine that it had jurisdiction to remove a State Court action to vacate an Award.
The Securities Arbitration Alert’s publisher and Editor-in-Chief George Friedman sat down recently for a brief 20-15 minute virtual interview with Professor Amy Schmitz of the University of Missouri School of Law and the Center for Dispute Resolution.
Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,
FINRA’s Office of Dispute Resolution Services (“DRS”) has again administratively postponed all in-person arbitration and mediation hearings but has posted guidance on its plans to resume in-person hearings.
An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.