Last week, FINRA issued Regulatory Notice 21-16 cautioning member firms against attempting to limit customer claims through language in mandatory pre-dispute arbitration agreements. Rule 2628 prescribes disclosure requirements for arbitration clauses and generally prohibits provisions that contradict other FINRA Rules.
The Notice specifically cautions against several provisions that improperly limit customer claims:
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In this round of Arbitration Tips-N-Tools, Professor Amy Schmitz asks some of the leading arbitration practitioners about drafting Arbitration Clauses, especially in a digital world and faced with the complexities...
By Julie Hopkins, Amy Schmitz, Rachel Goedken, Linda MichlerAt her confirmation hearing Justice Kagan noted “So in that sense, we are all originalists.” (U.S. Senate Judiciary Committee Hearing, p.62, 6/29/2020) Her observation was prescient as adherence to the...
By Terry MoritzThis article was first published in the Arbitration Matters Blog, here. In Angophora Holdings Limited v. Ovsyankin, 2022 ABKB 711, Justice Romaine dismissed an application by an arbitral award debtor to stay...
By Myriam Seers
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