Academic

Reps With Promissory Note Claims Defenses And Counterclaims Should Be Aware Of Their Options Under Newly Revised FINRA Arbitration Procedures
FINRA has just amended its rules regarding disposition of promissory note claims that are filed in arbitration. According to a FINRA release, FINRA is amending its Code of Arbitration Procedure for Industry Disputes to establish new procedures for administering cases...

Is Retail Securities Arbitration Dying
Most people that engaged a financial advisor employed by a FINRA (formerly NASD) broker-dealer and all registered representatives signed something containing a mandatory arbitration clause...

FINRA Rules
As you may be aware, in July 2007, the NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange were consolidated into the Financial Industry Regulatory Authority (FINRA)...

New Suitability And Know Your Customer Rules Will Benefit Investors
The Securities and Exchange Commission (SEC) has approved two rules proposed by the Financial Industry Regulatory Authority (FINRA) which will benefit investors. The new rules, FINRA Rule 2090 and FINRA Rule 2111, take effect in October 2011...

"In Accordance With Commercial Rules of AAA" Held By Florida Court to Mean Any Arbitral Forum
A Palm Beach trial court, following the language of a specific arbitration agreement and a prior Idaho Supreme Court opinion, held that the parties were not required to arbitrate in the AAA despite the fact that the agreement said, "matter shall be settled by arbitration under the United States Federal Arbitration Act in accordance with the Commercial Arbitration Rules of the American Arbitration Association...

Chancery Applies FINRA Rules To Affirm Arbitration Award with Punitive Damages
Credit Suisse Securities (USA) LLC v. Investment Hunter LLC, C.A. No. 5107-VCN (Del. Ch. May 27, 2010), read opinion here  which affirmed an arbitration award that granted $1 million in punitive damages...

Discouraging Union Organizers
Strict work place rules

VA Sets New Benefit Rules for Agent Orange-Related Ilnesses
Agent Orange-Related Ilnesses VA Sets New Benefit Rules