The circuit courts continue to refine the definition of the term “customer” under FINRA Rule 12200.  A “customer” can compel a broker-dealer to arbitrate a dispute even in the absence of a pre-dispute arbitration agreement.  FINRA does not define “customer,” except for its mention in Rule 12100(i) (a “customer shall not include a broker or … Continue reading Second Circuit Adopts Bright-Line Definition of FINRA “Customer” For Arbitration Purposes →

Erin Archerd tipped me off that the New York Metropolitan Opera and the unions with which it is negotiating collective bargaining agreements, are trying to call in a federal mediator at the last minute to salvage their negotiations. The article is here: http://www.nytimes.com/2014/07/31/arts/music/met-opera-proposes-federal-mediator-for-union-negotiations.html?_r=0. In an interesting note, the article described some special sort of negotiations … Continue reading Mediation, Negotiation and the New York Metropolitan Opera →

FOI Jean Sternlight (UNLV) provides us with this guest post on the President’s recent actions on employment arbitration. President Obama today signed a new Fair Pay and Safe Workplaces Executive Order refusing to grant government contracts of over a million dollars to companies who mandate their employees arbitrate disputes involving discrimination, accusations of sexual assault, … Continue reading Sternlight – New Executive Order Blocks Mandatory Employment Arbitration →

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 →

Remember when we used to lament the fact that there were no mediation tv shows?  Well we had Fairly Legal which was farcically formulaic and often a bit silly.  Now we have Untying the Knot, a new reality series on the Bravo network.  The show follows New Jersey divorce attorney-mediator Vikki Ziegler as she “mediates” … Continue reading Reality TV Discovers Mediation →

The Federal Circuit recently handed down its decision in the CEATS v. Continental case.  If I were teaching Mediation this year, I’d spend some real time on it. Quick summary (oversimplifying for purposes of clarity here): Mediator appointed to patent case.  Case didn’t wind up settling, and it proceeded to trial.  After jury verdict, losing … Continue reading A Requirement Without Consequence? Federal Circuit Mediator Conflict Disclosure Case →

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 →

A quick note that Harvard Law Review just published a note this month entitled Mediation of Investor-State Conflicts (Harvard Law Review, June 2014).  It’s very exciting to see this concept hitting the mainstream and the timing is good.  As the current litigation between Argentina and its unhappy bond holders demonstrates, alternate processes between states and their investors … Continue reading Mediating International Investment Disputes →