By Sarah G. Anderson
*A court’s inquiry under §10(a)(4) of the FAA is whether the arbitrator had the power to reach a certain issue,
The current state of registered investment adviser (“RIA”) arbitration, and where things may be headed, were the core topics discussed recently by an experienced panel of securities arbitration experts in the third SAC podcast.
By Jill Gross
Today, the Second Circuit followed an April 2014 decision by the Ninth Circuit in Goldman Sachs &
Nos. 13-797 & 13-2247 (2nd Cir., 8/21/14). Arbitrability * Agreement to Arbitrate * Contract Enforceability (Public Policy) * Forum Selection Clause * Remedies (Injunctive Relief) * SRO Rules (FINRA Rule 12200) * Stay of Arbitration * Jurisdiction Issues (Federal Question;