News and Articles

Yearly Archives: 2009

Securities Law Update – August 2009

Items discussed in this newsletter:

  • Trust Not Required to Arbitrate Against Merrill Lynch
  • AIG Name Change
  • Auction Rate Securities Class Action
  • Selling Away Cases – Insurer’s Duty to Defend
  • Punitive Damages Unavailable as a Matter of Law for a Pension Plan’s ERISA §409 Claims
  • Punitive Damages Unavailable as a Matter of Law for a Pension Plan’s ERISA §409 Claims

The Polygraph Examination – A Valuable Arbitration Tool – The Florida Bar Journal

Securities Arbitration – once a concept foreign to most attorneys, is now a reality for many individuals whose retirement nest eggs have been decimated within the past year. For better or worse, most individual and institutional investors who do business with firms that are members of the Financial Industry Regulatory Authority (hereafter “FINRA”), are required to resolve disputes through a FINRA administered arbitration process. For most Nebraska residents, this means that their dispute will be resolved through an arbitration proceeding that will occur in Omaha. Residents of western Nebraska may be required to travel to Cheyenne,Wyoming for their hearings.

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