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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Valelly v. Merrill Lynch, Pierce, Fenner & Smith, Inc.
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By James L. Komie

The terms and conditions of an electronically signed account agreement were “reasonably conspicuous” and thus binding on the customer even though she had to scroll down the page to see the relevant terms.

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FINRA Issues Reg Notice Setting September Effective Date for New Minimum Expungement Fees
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By George H. Friedman, SAA Editor-in-Chief

After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.

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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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NRLB Upholds Arbitration Confidentiality Provisions
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By Cameron Michelsen

The National Labor Relations Board (“NLRB”) recently upheld confidentiality provisions in arbitration agreements in relation to section 7 of the National Labor Relations Act (“NLRA”) and the Federal Arbitration Act (“FAA”).

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Anatomy of an Explained JAMS Award: To Defend Or Not To Defend
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By Harry A. Jacobowitz, Esq.

While most explained Awards focus on factual issues, Alderson v. deVere USA, Inc., JAMS ID #1425027170 (New York,

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