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Articles 1 - 3 of 3
Full-Text Articles in Law
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
The Customer's Nonwaivable Right To Choose Arbitration In The Securities Industry, Jill I. Gross
Brooklyn Journal of Corporate, Financial & Commercial Law
Arbitration has been the predominant form of dispute resolution in the securities industry since the 1980s. Virtually all brokerage firms include predispute arbitration agreements (PDAAs) in their retail customer contracts, and have successfully fought off challenges to their validity. Additionally, the industry has long mandated that firms submit to arbitration at the demand of a customer, even in the absence of a PDAA.
More recently, however, brokerage firms have been arguing that forum selection clauses in their agreements with sophisticated customers (such as institutional investors and issuers) supersede firms’ duty to arbitrate under FINRA Rule 12200. Circuit courts currently are …
The Challenge Of Fiduciary Regulation: The Investment Advisors Act After Seventy-Five Years, Roberta S. Karmel
The Challenge Of Fiduciary Regulation: The Investment Advisors Act After Seventy-Five Years, Roberta S. Karmel
Brooklyn Journal of Corporate, Financial & Commercial Law
Seventy-five years after its enactment the Investment Advisers Act of 1940 has advanced from a relatively weak statute merely registering advisers with the Securities and Exchange Commission (SEC) to a more robust law imposing fiduciary responsibilities on advisers. Over the years, the number of investment advisers and the number of their clients have increased greatly. The SEC therefore has been pressured by Congress to develop a harmonized fiduciary standard for broker-dealers and advisers and also to develop and enforce a greater degree of oversight over the advisory industry. These developments have raised the questions of how to fund such efforts …
Rescuing The “Supreme Court” Of Sports: Reforming The Court Of Arbitration For Sport Arbitration Member Selection Procedures, Jennifer R. Bondulich
Rescuing The “Supreme Court” Of Sports: Reforming The Court Of Arbitration For Sport Arbitration Member Selection Procedures, Jennifer R. Bondulich
Brooklyn Journal of International Law
The international athletic community’s preference for arbitration over traditional domestic courts to settle disputes between individual athletes and their respective sports governing bodies has led to the development of an authority specializing in international sports dispute resolution—the Court of Arbitration for Sport (CAS). Originally created in 1984 by the International Olympic Committee (IOC) to hear Olympic disputes, CAS has developed into the exclusive arbitral body for international sports disputes, and clauses granting CAS exclusive authority are found in essentially all contracts between individual athletes and their respective athletic federation. Although, CAS functions as the “Supreme Court” of Sports and is …