Back to Basics on FAA Award Enforcement: Arbitration Agreement Must Be Submitted with Confirmation Papers
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By George H. Friedman, SAA Publisher & Editor-in-Chief

 A firm’s experience in enforcing a FINRA Award underscores the need to comply with the FAA’s technical requirements for award confirmation.

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June Marks One Year Anniversary of “Rigged Panels” Investigation Report
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By George H. Friedman, SAA Publisher & Editor-in-Chief

It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.

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UPDATE: Parties Agree to Vacate FINRA Panel’s $36+ Million Award Against Oppenheimer
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The parties have stipulated to a Consent Order vacating a massive Award rendered against Oppenheimer by a FINRA Panel.

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Eleventh Circuit Reverses Course on Grounds to Vacate Under UN Convention
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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”),

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Tenth Circuit: Effective Vindication Exception Invalidates Arbitration Agreement. ERISA Action Advances in Court
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By Harry A. Jacobowitz, Esq.**

A U.S. Court of Appeals holds that the Supreme Court’s effective vindication exception to the enforcement of arbitration agreements applies to an arbitration agreement that prevents a defined compensation retirement plan participant from pursuing plan-wide remedies.

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Strict Atalese Standard Doesn’t Apply to PDAA Between Sophisticated Parties
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By George H. Friedman, SAA Publisher & Editor-in-Chief

In a case of first impression, the New Jersey Appellate Division holds that the strict “waiver of jury trial” requirement for predispute arbitration agreements (“PDAA”) involving consumers articulated in Atalese and its progeny does not apply to PDAAs between sophisticated parties of relatively equal bargaining positions.

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