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FINRA also has a search tool called BrokerCheck where you can find out if any disciplinary action has been taken against an adviser; it also has a list of brokers who have been barred.
According to FINRA, Through July 2023, there were 1,914 new cases filed for arbitration. 163 customer claimant cases had been decided through July 2023 and in 26% of those cases, customers were awarded damages. [53] [54] [48] FINRA rates any positive award to a customer as a win for the customer, regardless of the magnitude of losses or legal fees.
In October 2010, Archinaco obtained a FINRA arbitration award of $925,000 for whistleblower Michelle Ford. Ford had complained to her employer about what she believed were prohibited transactions in a 401(k) plan and improper sales of annuities. After she complained to superiors, she was retaliated against, culminating in her termination.
Discover Bank v. Superior Court (113 P. 3d 1100 (Cal. 2005)): Held a class action waiver in an arbitration clause unconscionable when disputes will involve small amounts of damages and are part of a scheme by a company with superior bargaining power to deliberately cheat many consumers (the "Discover Bank test").
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Henry Schein, Inc. v. Archer & White Sales, Inc., 586 U.S. ___ (2019), was a case decided by the Supreme Court of the United States on January 8, 2019. The case decided the question of whether a court may disregard a valid delegation of arbitrability—a contract provision stating that an arbitrator should decide whether a dispute is subject to arbitration—when the argument in favor of ...
Bissonnette v. LePage Bakeries Park St., LLC, 601 U.S. ___ (2024), is a United States Supreme Court case in which the Court held that transportation workers do not need to formally work in the transportation industry to be exempt from the Federal Arbitration Act.
United States Supreme Court or appellate court rulings concerning arbitration Pages in category "United States arbitration case law" The following 48 pages are in this category, out of 48 total.