District Court Finally Rules on J&J’s Rejection of Shareholder’s Arbitration Proposal
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The issue of shareholder arbitration is in the news again, this time in the form of a long-awaited court decision on Johnson &

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Kentucky Supreme Court Upholds An Arbitrator’s Use of the Merger Doctrine Over a Statutory Challenge
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by Hayes Favinger*

The Supreme Court of Kentucky upholds unanimously an Arbitrator’s award despite a challenge on the grounds that KRS 324.360 overruled the merger doctrine** as applied.

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Eleventh Circuit Upholds $3 Million Sanction FINRA Award Against Morgan Stanley
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(This analysis is authored by SAA Editorial Board member Robert Pearce, a Securities Arbitration Lawyer at the Law Offices of Robert Wayne Pearce,

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NY Trial Court: Objecting to FINRA Jurisdiction but Participating in Arbitration Not Enough to Vacate Award
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By George H. Friedman, SAA Publisher & Editor-in-Chief

A financial adviser who noted his continued objections to FINRA Dispute Resolution Services’ (“DRS”) jurisdiction but otherwise participated in the arbitration cannot later challenge the Award under New York’s arbitration statute.

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Contracts of Adhesion and Securities Arbitration: How FINRA Attempts to Mitigate Harm to Investors
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By Christian Mercado*

Introduction

The securities industry is an example of one attempting to mitigate equity concerns surrounding arbitration agreements contained in contracts of adhesion.

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Enforcement of $2 Billion ICSID Award Stayed While Internal Appeal is Pending at Arbitration Forum
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The District Court for the District of Columbia declines for the time being to enforce a $2 billion Award against Egypt because an appellate arbitration proceeding is still pending.

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