FINRA announced today the formation of a new Arbitration Task Force “to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants.”  The 13-member Task Force will be Chaired by Professor Barbara Black, my former colleague and frequent co-author, and will include forum arbitrators, … Continue reading FINRA Appoints New Arbitration Task Force →

For those interested in the field of securities dispute resolution, check out this new blog, just launched by Securities Arbitration Commentator (http://www.sacarbitration.com/blog/). Here is its opening announcement: The Securities Arbitration Commentator (“SAC”) is just delighted to welcome you to our new blog, through which we will keep followers informed of key developments in the securities dispute resolution … Continue reading Securities Arbitration Commentator Launches New Blog →

From FOI, Prof. Ron Aronovsky (Southwestern Law) Dear Colleagues: Registration is now open for the AALS ADR Section’s Eighth Annual Works-in-Progress Conference! The Conference:  Southwestern is honored to host this year’s WIP Conference.  The Conference has traditionally provided a welcoming and interactive forum where ADR scholars from across the country can share their current research, … Continue reading Registration Now Open for Fall 2014 ADR Works in Progress Conference →

Jeffrey T. Zaino, a Vice President at the American Arbitration Association, offers this guest blog post on developing a career as an ADR neutral: Developing a career as an arbitrator or mediator can be very challenging.  Before you consider moving into the field it is important that you talk to those arbitrators and mediators who … Continue reading Quick Tips for Developing Your ADR Career →

I am passing along the following message from Tracey Frisch, Staff Attorney of the American Arbitration Association: Greetings, The AAA is looking to compile a list of law school clinics that would provide legal representation to self-represented parties in AAA administered arbitrations and mediations.  If there is a clinic at your school that would provide … Continue reading AAA Seeking Law School Clinics to Represent Parties in Arbitration and Mediation →

I blogged yesterday (here) about FINRA’s Board of Governors’ Decision finding that Schwab violated FINRA’s rules by inserting a class action waiver in the PDAA in its customer agreement.  A few additional aspects of the decision are worth mentioning. First, FINRA’s Enforcement Department appealed the lower hearing panel’s adverse ruling to FINRA’s National Adjudicatory Council … Continue reading More on FINRA’s Ruling in the Schwab Class Action Waiver Case →

From Ethan Katsh (U Mass): The 2014 International Online Dispute Resolution Conference will be held in Silicon Valley and San Francisco, June 25-27, 2014.  ODR 2014 <http://www.odr2014.org>  will bring together the technology, law and dispute resolution communities, academic researchers, representatives of  financial institutions, ecommerce and social media companies, and social justice advocates using innovative technologies … Continue reading ODR Conference in June 2014 at Hastings/Stanford →

In a stunning but hoped-for result (based on am amicus brief I co-authored in the case), FINRA’s Board of Governors reversed a disciplinary hearing panel decision in the FINRA v Schwab enforcement action. (See some of my previous blog posts on the subject, here, here and here.) That hearing panel had held, among other things, that Schwab’s class action … Continue reading FINRA Reverses Hearing Panel in Schwab Enforcement Case: Class Action Waiver Violates FINRA Rules →

Last week, the Court of Appeals for the Ninth Circuit decided two issues important in the field of securities arbitration — one of which I believe flatly ignores the Securities Exchange Act of 1934, as amended by Dodd-Frank. The case, Goldman, Sachs & Co. v. City of Reno, __ F.3d __, 2014 WL 1272784 (9th … Continue reading Ninth Circuit, FINRA Arbitration and Exchange Act Commands →

Congratulations to students Alden Anderson and Chelsea Hesla from the Sandra Day O’Connor College of Law at Arizona State University, who won the 2014 American Bar Association Section of Dispute Resolution Representation in Mediation Competition.  The National Finals took place this past week at the Section’s Annual Conference in Miami. As the ABA reported, over 100 … Continue reading Arizona State Law Wins ABA Representation in Mediation Competition →