Former Miller & Schroeder Broker Must Pay $833K in Damages, Fees
- Arbitration of Investor-Broker Disputes. Zepfel, Robert J. // California Law Review;Jan1977, Vol. 65 Issue 1, p120
Analyzes the function of arbitration clauses in securities brokerage agreements and the enforceability of such clauses against investors seeking to litigate their claims against stockholders. Information on the Wilko versus Swan case; Arbitration and self-regulation of the securities industry;...
- SECURITIES--ARBITRATION AGREEMENT--AGENCY--THIRD PARTY BENEFICIARY--STANDING--CONSENT. // Arbitration Journal;Sep91, Vol. 46 Issue 3, p77
This article focuses on the arbitrary case Shaffer versus Stratton Oakmont Inc. in the U.S. in 1991, which involves issues concerning the arbitration agreement. Plaintiff John E. Shaffer opened an account with introducing broker Stratton Oakmont. A dispute arose between Shaffer and Stratton over...
- FINRA Review, Investor Choice Act Highlight Arbitration Anomalies. Waddell, Melanie // Investment Advisor;Sep2013, Vol. 33 Issue 9, p17
The article focuses on the two initiatives in the controversial practice of arbitration agreements. It states that the Financial Industry Regulatory Authority (FINRA) will reexamine a proposal in arbitration cases which permits brokers to strike black marks from their record. Moreover, another...
- REGULATION: THE BURDEN AND THE BACKLASH. Kearney, Helen // On Wall Street;Feb2008, Vol. 18 Issue 2, p32
The article focuses on changes that are expected to impact compliance and financial regulation in the U.S. The most anticipated regulatory event of 2008 would probably be the launch of the new Financial Industry Regulatory Authority rulebook governing brokers, the article notes. The Treasury...
- REINSURANCE ARBITRATION: THE PROBLEM OF IMPARTIALITY. Havens III, Charles w.; Sperduto, Kim // Journal of Insurance Regulation;Mar83, Vol. 1 Issue 3, p345
Discusses the arbitration process and arbitrator impartiality in the U.S. Problems of arbitrator impartiality in the reinsurance industry; Alternative means of determining arbitrator impartiality.
- Defining arbitral due process. Carbonneau, Thomas E. // Journal of Alternative Dispute Resolution in Employment;Spring2001, Vol. 3 Issue 1, p14
Examines the issue of fairness in employment arbitration agreement in the U.S. Reluctance of courts to enforce arbitration agreement; Presence of a unilaterally imposed adhesionary contracts; Details of the federal policy favoring arbitration.
- Arbitration Pacts Avert Lawsuits. Mink, Mary // Credit Union Executive Newsletter;12/20/99, Vol. 25 Issue 41, p2
Advises United States credit unions to build arbitration agreements into their vehicle leases to protect themselves from class-action lawsuits.
- In the trenches. Snyder, Beth // Telephony;10/07/96, Vol. 231 Issue 15, p93
Focuses on arbitration procedures on interconnection details concerning local and interexchange telecommunications carriers in the United States. Interexchange carriers that filed for arbitration; Issues on resale discounts rates; Bundling services; Network access; Branding of services.
- State shorts. // Telephony;7/22/96, Vol. 231 Issue 4, p12
Presents news briefs on the telecommunications industry. AT&T's arbitration pleas; New York Public Service Commission's 13.5% discount rate to resellers; Local service agreements; Time Warner and Southwestern Bell Telephone Co.'s telephony deal; BellSouth's fifth interconnection agreement.