Fifth Circuit Applies “Look Through” Standard to Removal of Case Seeking to Vacate FINRA Award Under FAA
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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.

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An Interview with Our Publisher and Editor-in-Chief
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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.

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FINRA DRS Postpones In-Person Hearings Through December 4, but Posts Info on Reopening Plans
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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.

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A Strategic Overview of FINRA Arbitration: Three I’s of Growth – Investment Advisers, Institutional Customers, and International Investors
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A Strategic Overview of FINRA Arbitration: Three I’s of Growth

Investment Advisers, Institutional Customers, and International Investors

By Richard P.

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Bayles v. Evans
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By Christopher G. Lazarini

*A non-signatory is estopped from cherry-picking parts of a contract she finds beneficial, while ignoring those she would prefer not apply,

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Bufkin v. Scottrade, Inc.
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By Burton W. Wiand

Claims by a customer relating to the freezing of account assets, their liquidation and turnover to IRS are subject to arbitration under the account agreement.

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