WebSep 2, 2024 · (See FINRA Rule 13503(d)(3): “Discovery-related motions are decided by one arbitrator . . . [but] [t]he arbitrator may refer such motions to the full panel either at his or her own initiative, or at the request of a party.”) Thus, it is especially important to make an aggressive but tailored case for documents or discovery-related penalties. WebJun 30, 2024 · Lewis Roca Rothgerber Christie. 06/30/2024. The U.S. Supreme Court’s decision in CalPers v. ANZ Securities, Inc. provides compelling new support for a respondent arguing an eligibility motion before a FINRA arbitration panel. With the weight of the Court on their side, broker-dealers may have their own opportunity to level the …
Judge Rebukes Finra Arbitration in Vacating Wells Fargo Award
WebApr 22, 2024 · Accordingly, the Commission should grant FINRA’s unopposed . motion to consolidate Gagnon’s appeal with the Consolidated Arbitration Appeals and postpone briefing. Respectfully submitted, /s/ Lisa Jones Toms Lisa Jones Toms . Associate General Counsel . FINRA . 1735 K Street, NW . Washington, DC 20006 (202) 728-8044 . … WebApr 10, 2024 · If the motion is denied, the panel must assess fees associated with hearings on the motion against the moving party. Id. at (a)(9). If the motion is deemed frivolous, the panel must also award reasonable costs and attorneys’ fees to any party opposing the motion. Id. at (a)(10). FINRA Rules 12504(a)(6)(B) and 13504(a)(6)(B) Explained free image maker software download
A vibrant market is at its best when it works for everyone. FINRA.org
WebApr 5, 2024 · The FINRA panel dismissed all of her claims with prejudice. Badgerow then filed a petition in Louisiana state court to vacate the arbitration award. The defendants removed the action to federal court, and Badgerow filed a motion to remand, asserting that the federal court lacked subject-matter jurisdiction over the petition to vacate. WebMar 2, 2024 · After rejecting UBS’ arguments that the plaintiff’s motion was procedurally deficient, the district court addressed the substantive issues raised by the parties, including whether the panel ... WebJan 23, 2024 · Arbitration and Mediation. FINRA is also responsible for sponsoring and administrating the largest and most primary platform for arbitration and mediation in the securities industry. When disputes arise between brokers and clients, for example, FINRA’s dispute resolution process is the first avenue taken before the SEC or federal courts get ... blue book for car value