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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FINRA DRS Posts Stats Thru October: Some Reversions to Mean and Some Theories Validated
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through October, with most numbers returning to near-normal during this abnormal year.

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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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SCOTUS Review Sought of Split Ninth Circuit Decision Holding that FAA Section 1 Carveout Does Not Require that Worker Have Moved Goods Across State Lines
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By George H. Friedman, SAA Publisher & Editor-in-Chief

As we’ve suggested every time we report on this issue, the Supreme Court is being asked to review whether FAA section 1 exempts from coverage only workers actually moving goods or people in interstate commerce.

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Update on Split Ninth Circuit Decision Affirming Denial of a Motion to Compel Arbitration: Rehearing En Banc Sought
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By George H. Friedman, SAA Publisher & Editor-in-Chief

DIRECTV is seeking a rehearing en banc on a split Ninth Circuit decision that had denied its Motion to compel arbitration.

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