Fan v. StoneMor Partners LP
on

By David C. Franceski, Jr.

The use of equity proceeds from future investors to pay down borrowings used for distributions to current investors of “pre-need” revenue from burial service sales otherwise tied up in state-mandated trusts is not federal securities fraud,

...Read More

FINRA Stats, 7/19: Customer Claims on a Slow Rise from Earlier Months of 2019
on

Here’s the difference we’re seeing: back in January of this year, FINRA’s Office of Dispute Resolution reported in its monthly statistical disclosures that 336 cases had been filed,

...Read More

Gupta v. Morgan Stanley Smith Barney, LCC
on

By James L. Komie

An employee is bound to arbitrate under the employer’s modified arbitration program requiring arbitration of discrimination claims where he failed to opt out after receiving an email regarding the modified policy,

...Read More

Poor Henry Schein. After Seven Years, Still No Arbitration, Even After SCOTUS Victory Earlier this Year
on

By George H. Friedman, SAA Editor-in-Chief

Evaluating the parties predispute arbitration agreement (“PDAA”) for delegation of arbitrability after remand from SCOTUS earlier this year,

...Read More

Walters v. Boustead Securities LLC
on

By Paul J. Dubow

*Although an appraisal may sometimes be considered to be an arbitration, the underlying contract must specifically designate it as such.

...Read More

Well, We Are Persistent. Comment Period Ended Mid-July on NJ Fiduciary Proposal. Comments Are Not Posted Online but We’ve Pieced Together an Analysis
on

By George H. Friedman, SAA Editor-in-Chief

The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments.

...Read More

Read Our Recent Blog