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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PLI’s “Securities Arbitration 2020” – A New Medium, But the Same Great Content
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Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,

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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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Anatomy of an Explained AAA Award: “Oh, What a Tangled Web We Weave….”
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Guest author Harry A. Jacobowitz, Esq., analyzes for us an explained AAA Award featuring the largest damages since 2018 and the Arbitrator’s detailed explanation (as requested by the parties) of liability and damages in favor of a hedge fund against its fired portfolio manager.

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