While Financial Industry Regulatory Authority (FINRA) rules do not require member firms and customers to enter into arbitration agreements or otherwise preclude parties from litigating disputes through the state and federal court systems, FINRA issued and published Regulatory Notice 21-16 (the “Notice”) on April 21, 2021 to emphasize the applicable FINRA Rules when member firms choose to utilize mandatory pre-dispute arbitration agreements for customer and investor accounts.
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In this round of Arbitration Tips-N-Tools (TNT), Professor Amy Schmitz asks some of the leading arbitration practitioners about planning and executing a preliminary arbitration hearing, especially in a digital world...
By Amy Schmitz, Theo Cheng, George Friedman, Daniel Urbas, DeAndra RoachéIn this episode of the Arbitration Conversation Amy interviews Graham Ross, Head Of International Marketing at Smartsettle Resolutions Inc. and Founder and President of TheMediationRoom.com. The discussion revolves around Smartsettle...
By Graham Ross, Amy SchmitzIn 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 Michler
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