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Broker-Dealer › Motion to Vacate

Carlton Fields

Fourth Circuit Holds It Lacks Jurisdiction to Consider Petition to Vacate

Carlton Fields on

The Fourth Circuit Court of Appeals recently held that it lacked jurisdiction over a petition to vacate an arbitration award....more

UB Greensfelder LLP

Order Granting Motion To Vacate Arbitration Award Raises Question: Is FINRA’s Meeting Its Obligation To Provide A Fair Process?

UB Greensfelder LLP on

Motions to vacate an adverse arbitration award are rarely granted by courts. Indeed, that should come as no surprise to anyone inasmuch as the awards rendered at the conclusion of the arbitral process are explicitly designed...more

UB Greensfelder LLP

A Sad Story Of Regulators Simultaneously Doing Too Much And Too Little

UB Greensfelder LLP on

Not too long ago, a single, small BD experienced a bizarre combination of regulatory overzealousness and regulatory indifference, by the SEC and FINRA, respectively. These things, sadly, happen all the time, but what...more

UB Greensfelder LLP

Another Day, Another Complaint About The Unlevel Playing Field In FINRA Arbitrations

UB Greensfelder LLP on

I just read this article... – admittedly authored by lawyers, Ethan Brecher and Ana Montoya, whose website provides that one of their three principal areas of practice is representing investors “who have been defrauded by...more

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