2nd Circuit Upholds Enforcement Of Arbitration Forum Waivers

(February 2, 2016, 11:50 AM EST) -- NEW YORK — The Second Circuit U.S. Court of Appeals on Jan. 28 upheld a ruling that Rule 13200 of the Financial Industry Regulatory Authority (FINRA) does not bar enforcement of predispute waivers of a FINRA arbitral forum (Credit Suisse Securities [USA] LLC v. John David Tracy, et al., No. 15-0345, 2nd Cir.; 2016 U.S. App. LEXIS 1354).

(Opinion available. Document #73-160212-004Z.)

John Tracy, Charles Tharnstrom, Leonard Kortekaas, Christopher Chapin and Steven Lazny are a team of Los Angeles-based financial advisers who began working at Credit...
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