Amicus Briefs

Cohen v. UBS Financial Services

Summary

SIFMA has submitted an Amicus “Friend of the Court” Brief.

Court: 

U.S. Court of Appeals (Second Circuit)

Amicus Issue: 

Whether contractual arbitration and class waiver agreements between a FINRA member firm and its employees are prohibited under FINRA rules, and whether FINRA rules override the mandate of the Federal Arbitration Act (FAA).

Counsel of Record:

Morgan, Lewis & Bockius LLP 

Andrew J. Schaffran

Sam S. Shaulson

Other Amici on Brief: 

None. 

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