Open Access. Powered by Scholars. Published by Universities.®
- Institution
Articles 1 - 5 of 5
Full-Text Articles in Securities Law
Structural Barriers To Inclusion In Arbitrator Pools, Nicole G. Iannarone
Structural Barriers To Inclusion In Arbitrator Pools, Nicole G. Iannarone
Washington Law Review
Critics increasingly challenge mandatory arbitration because the pools from which decisionmakers are selected are neither diverse nor inclusive. Evaluating diversity and inclusion in arbitrator pools is difficult due to the black box nature of mandatory arbitration. This Article evaluates inclusion in arbitrator pools through a case study on securities arbitration. The Article relies upon the relatively greater transparency of the Financial Industry Regulatory Authority (FINRA) forum. It begins by describing the unique role that small claims securities arbitration plays in maintaining investor trust and confidence in the securities markets before describing why ensuring that the FINRA arbitrator pool is both …
The Historical Basis Of Securities Arbitration As An Investor Protection Mechanism Symposium, Jill Gross
The Historical Basis Of Securities Arbitration As An Investor Protection Mechanism Symposium, Jill Gross
Journal of Dispute Resolution
This article describes a history of securities arbitration, and uncovers the original purpose of designating arbitration to resolve investor disputes. This article argues that both investors and the industry have disregarded this underlying purpose, causing them to view securities arbitration through a distrusting, critical lens. Rather than cynically viewing securities arbitration as a forum created by and favoring industry players, investors should view arbitration as a central and critical component in a system of investor protection. Likewise, rather than promoting mandatory arbitration as desirable because of its speed and economies, broker-dealers and SIFMA should advertise the investor-protective benefits of the …
The Unjustified Furor Over Securities Arbitration, Gilbert R. Serota
The Unjustified Furor Over Securities Arbitration, Gilbert R. Serota
Pepperdine Law Review
No abstract provided.
Investors Win: Howsam V. Dean Witter Reynolds, Inc. Makes Entering Arbitration Quicker, Easier, And Less Expensive, Peter J. Smith Iv
Investors Win: Howsam V. Dean Witter Reynolds, Inc. Makes Entering Arbitration Quicker, Easier, And Less Expensive, Peter J. Smith Iv
Pepperdine Dispute Resolution Law Journal
In securities arbitration disputes, a split in the federal circuits arose over whether an arbitrator or a court should determine if the National Association of Securities Dealers Code of Arbitration Procedure ("NASD Code") Section 10304 barred the bringing of a claim that was more than six years old. While some courts have held the issue was a procedural one for the arbitrator to decide, others have held that it was a substantive issue for the courts to decide. Obviously, the resolution of the time eligibility rule by the court delays the resolution of the dispute diminishes the benefits and duplicates …
On The Continued Vitality Of Securities Arbitration: Why Reform Efforts Must Not Preclude Predispute Arbitration Clauses, Alicia J. Surdyk
On The Continued Vitality Of Securities Arbitration: Why Reform Efforts Must Not Preclude Predispute Arbitration Clauses, Alicia J. Surdyk
NYLS Law Review
No abstract provided.