Analysis

Analysis Arbitration

Mistake of Law is Not Disregard of Law

California Court upholds arbitration award Baraban Securities, Inc. v. Viersen & Watts, Case No. CV 00-02931 (WJR) (C.D. Calif., 4/18/00): Baraban alleges manifest disregard of the law in its petition to vacate the underlying NASD Award (NASD ID #97-02538, Portland, OR, 2/23/00), claiming that the claims were encompassed by a […]

Analysis Law

Outsiders as RICO conspirators

Archives Securities Case Briefs: Outsiders as RICO conspirators Brouwer vs. Raffensperger, Hughes & Co. Brouwer v. Raffensperger, Hughes & Co., 199 F.3d 961 (7th Cir., 1/13/00): This case concerns the limitations under the federal RICO statute on liability of an underwriter and a law firm that assisted in note financings […]

Analysis Arbitration

Refusal to Grant Adjournment

Third Time is not a charm Whale Securities Co., L.P. v. Godfrey, No. 565 (App. Div., 1Dept., 4/4/00): When SAC summarized the decision below, 10 SAC 9(16), we set out the facts in detail and posed the question: “How would you decide?” The question at hand, whether the Arbitrators engaged […]

Analysis Arbitration

Out of State Attorneys In Florida Update

FLORIDA BAR & RAPOPORT:The Florida Supreme Court’s decision regarding an attorney not licensed in Florida, but practicing in Florida securities arbitrations, has caused a stir among both Claimants’ and Respondents’ counsel; an interim policy now seems in the works. In the case of The Florida Bar v. Rapoport, No. SC01-73 […]