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Award Mini-Survey: Top $$ Awards of 2016
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As a new year begins, we like to take the opportunity to review some of the most notable securities arbitration Award statistics of the last year.

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Arbitration Attempt Is Annulled by Inconsistent Activity: Dagostino v. LPL Financial, LLC
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By Paul J. Dubow

A party who engages in extensive motion practice, takes depositions, and seeks production of documents before filing a motion to compel arbitration waives the right to arbitration.

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SCOTUS Hat Trick: Certiorari Granted in Three Cases Involving Class Action Waivers in Employment Arbitration Agreements
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The Supreme Court on January 13th granted certiorari in three cases involving the issue of whether the Federal Arbitration Act prevails over the National Labor Relations Act when it comes to enforcing class action waivers in employment arbitration agreements.

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Was the Whistleblower Heard: Feldman-Boland v. Morgan Stanley
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By Jack D. Ballard

Where a plaintiff in a Dodd-Frank whistleblower suit notified his supervisor of his concerns about unlawful activities and a later regulatory action addresses the same issues,

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FINRA Releases 2017 Regulatory and Exam Priorities – Arbitration on the List!
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FINRA announced its 2017 regulatory and exam priorities, chief among them corporate culture, in a January 4th Cover Letter to firms that included a link to a hefty 11-page Open Letter to the securities industry.

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Gone in a Flash: Securities Manipulation Suit Falters: CP Stone Fort Holdings, LLC v. Doe
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By James L. Komie

Allegations of flash trading that involve a pattern of orders placed and then canceled milliseconds later are not enough,

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