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NFA Arbitrators Award $43 Million

Commodities Claimants Collectively Win award in Consolidated Cases, with Common Counsel

on All Sides

Manifest Disregard of the Law, Again

Failure to Provide Citations in Award Explanation Is Not Evidence of Manifest Disregard of the

Law

AAA Arbitration Clauses Mean AAA Arbitration

Court Upholds AAA Selection Clause, and Forces Investor to Arbitration at the AAA. MAGGIO

V. WINDWARD CAPITAL MGMT. CO., No. B134322 (Calif. App., 2Dist., 5/23/00

Halligan vs. Piper Jaffray, ___F.3d ___, (2d Cir. 1998)

Arbitrator Awards can be reversed for manifest disregard of the law - or of the evidence.

Prudential Securities Incorporated v. Brigianos, 1st Dept 9/30/97 (NYLJ

Arbitration subpoena served on non-party held to violate his Fifth Amendment privilege against

self-incrimination and is quashed. By Sullivan, J.P.; Nardelli, Williams and Tom, JJ.

Matter of D.H. Blair & Co. v. Massimi, Sup.Ct., New York Co., NYLJ

Arbitration not stayed for brokerage facing criminal inquiry

Matter of Alpha Bytes Computer Corp. v. Slaton, Sup.Ct., New York Co.,

Punitive damages award is upheld. "If the parties to an arbitration contract agree to refer punitive

damages claims to the arbitrator, the FAA ensures that their agreement will be enforced

according to its terms even if a rule of state law would otherwise exclude such claims from

arbitration."

Montes vs. Shearson Lehman Brothers. Inc., ___ F.3d ___ (11th Cir.

Manifest disregard of the law can be a basis for overturning an arbitration award

New York State Arbitration Decisions

The vast majority of securities arbitration cases are decided under New York law. Here is a

collection of the most recent decisions from the New York Courts.

Federal Courts

Federal Arbitration Decisions

Full text of opinions from the federal courts relating to arbitration.

General Information

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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.  

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