By: John F. Fullerton III This is the third in our series of posts on practice and procedure in employment-related arbitrations before FINRA. Check back often for future posts, subscribe by e-mail (see the sidebar), or follow @FSemployer on Twitter so you don’t miss any updates! Once upon a time, it was mandatory under Form… Continue Reading
Tag Archives: arbitration
FINRA Rule 13803: Compelling Arbitration Claims to be Filed in Court
By: John F. Fullerton III This is the second in our series of posts on practice and procedure in employment-related arbitrations before FINRA. Check back often for future posts, subscribe by e-mail (see the sidebar), or follow @FSemployer on Twitter so you don’t miss any updates! As a general rule, it is more common to… Continue Reading
Something to Consider When Deciding Whether to Compel FINRA Arbitration
By: Dena L. Narbaitz Here is the scenario: your company, a FINRA Member Firm, terminates a broker for “violation of company policies” and reports this as the reason for termination on the broker’s Form U-5 (Uniform Termination Notice for Securities Industry Registration). The broker then sues your company in state court asserting several claims, including… Continue Reading
Beyond the Administrative Process — Courts Show Receptivity to Arbitration of Certain Whistleblower Claims
Like several other statutes, the Sarbanes-Oxley Act (“SOX”) requires whistleblowers to initiate their complaints by an administrative filing with the Department of Labor’s Occupational Safety and Health Administration. But when a preferred outcome in that designated arena appears unlikely, a whistleblower may be allowed to abandon the administrative process before a final order issues and seek… Continue Reading
