Section Newsletters

Articles From John R. Schleppenbach

Department of Justice Previews Potential Changes to Corporate Enforcement Policies By John R. Schleppenbach Business and Securities Law, December 2021 In an October 2021 speech, the Department of Justice provided more clarity on the Biden administration's approach to corporate enforcement.
CFTC Files First Complaint Alleging Manipulative Scheme Involving Digital Assets By John R. Schleppenbach Business and Securities Law, October 2021 For almost as long as there have been cryptocurrencies, there have been controversies surrounding cryptocurrencies.
International Bar Association Releases Revised Version of Widely-Used Rules on the Taking of Evidence By John R. Schleppenbach International and Immigration Law, May 2021 To govern what evidence should be admitted or excluded at an arbitration hearing and how those determinations should be made, parties in recent years have increasingly chosen the International Bar Association Rules.
International Bar Association Releases Revised Version of Widely-Used Rules on the Taking of Evidence By John R. Schleppenbach Alternative Dispute Resolution, April 2021 To govern what evidence should be admitted or excluded at an arbitration hearing and how those determinations should be made, parties in recent years have increasingly chosen the International Bar Association Rules.
SEC 2020 Annual Report Highlights Enforcement Priorities & Trends By John R. Schleppenbach Business and Securities Law, March 2021 The United States Securities and Exchange Commission Division of Enforcement issued its annual report for Fiscal Year 2020 and, due to COVID-19, the report reflected a marked decline in the number of enforcement actions brought by the SEC.
Supreme Court Denies Certiorari in Case Exempting Amazon Delivery Drivers from Federal Arbitration Act By John R. Schleppenbach Alternative Dispute Resolution, March 2021 Interstate transportation workers like independent contractor truck drivers have been held by the U.S. Supreme Court to be exempt from compelled arbitration under the Federal Arbitration Act.
Tenth Circuit Provides Guidance on Determining Personal Jurisdiction to Enforce International Arbitration Awards By John R. Schleppenbach Alternative Dispute Resolution, January 2021 In Compania de Inversiones Mercantiles, S.A. v. Grupo Cementos de Chihuahua S.A.B. de C.V., the tenth circuit's decision provides welcomed guidance on establishing personal jurisdiction to enforce an international arbitration award.
Supreme Court Holds SEC Has Disgorgement Authority, Within Certain Limits By John R. Schleppenbach Business and Securities Law, October 2020 The U.S. Supreme Court recently affirmed the disgorgement power of the Securities and Exchange Commission in an 8-1 decision in June.
U.S. Supreme Court to Hear Argument on Arbitrability Issues in Henry Schein Matter By John R. Schleppenbach Alternative Dispute Resolution, October 2020 The United States Supreme Court will hear argument on December 8, 2020, in a matter that could potentially resolve important issues of arbitrability.
Tenth Circuit Affirms SEC Sanctions on Investment Advisor for Conflicts of Interest By John R. Schleppenbach Business and Securities Law, January 2020 In Malouf v. Securities & Exchange Commission, the court affirmed the SEC’s finding that an investment advisor’s failure to disclose conflicts of interest or correct his firm’s statements denying the existence of such conflicts had violated the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Advisers Act, and related rules.
Northern District of Illinois Casts Doubt on Validity of Disclosure-Only Settlements in M&A Suits By John R. Schleppenbach Business and Securities Law, October 2019 In House v. Akorn, Inc., the court employed a rigorous analysis to reject a disclosure-only settlement of merger litigation.
First circuit declines to order arbitration due to lack of evidence blind plaintiffs were aware of arbitration clause By John R. Schleppenbach Alternative Dispute Resolution, April 2019 The first circuit’s decision in National Federation of the Blind v. The Container Store, Inc. serves as a caution that arbitration clauses should be made conspicuous to ensure their enforceability.
Second circuit affirms denial of insider trader’s habeas petition holding that the trader’s anticipation of maintaining a good relationship with the tippee was a sufficient benefit to support conviction By John R. Schleppenbach Business and Securities Law, March 2019 Securities practitioners would do well to advise their clients that insiders who provide stock tips based on non-public information can be broadly penalized, even in the absence of money changing hands.
Eleventh Circuit rejects waiver claim and allows motion to compel arbitration after nearly 10 years of litigation By John R. Schleppenbach Alternative Dispute Resolution, June 2018 The Eleventh Circuit recently rejected a waiver argument in Gutierrez v. Wells Fargo Bank, NA, even though the litigation had been pending for nearly 10 years before a formal motion to compel arbitration was made.
Chair’s column By John R. Schleppenbach Alternative Dispute Resolution, May 2018 A message from the Section on Alternative Dispute Resolution's chair, John Schleppenbach.
Chair’s column: The future of ADR By John R. Schleppenbach Alternative Dispute Resolution, February 2018 A message from ADR Section Chair John Schleppenbach.
Chair’s column By John R. Schleppenbach Alternative Dispute Resolution, December 2017 A message from ADR Section Chair John Schleppenbach.
1 comment (Most recent November 29, 2017)
Chair’s column By John R. Schleppenbach Alternative Dispute Resolution, November 2017 A message from ADR Section Chair John Schleppenbach.
A welcome from the incoming Chair By John R. Schleppenbach Alternative Dispute Resolution, June 2017 Learn more about incoming ADR Section Chair John Schleppenbach.
State employees’ statements during internal investigations may be admissible in criminal proceedings, even though compelled under threat of job loss, if self-incrimination rights later waived By John R. Schleppenbach Government Lawyers, May 2017 Though internal investigators should still take pains to avoid the appearance that they are threatening public employees with sanctions should they decline to cooperate with an investigation, the Eleventh Circuit has now provided a blueprint for investigators to obtain a waiver and use an employee’s statement even if such threats are made.
Supreme Court to consider legality of arbitration agreements containing class action waivers under NLRA By John R. Schleppenbach Alternative Dispute Resolution, April 2017 The United States Supreme Court appears poised to resolve a circuit split over whether workplace arbitration agreements containing class and collective action waivers are enforceable under the Federal Arbitration Act and the National Labor Relations Act, having granted certiorari in three consolidated cases in January 2017.
Tenth Circuit declines to compel arbitration due to conflicts in arbitration agreements By John R. Schleppenbach Alternative Dispute Resolution, January 2017 The Tenth Circuit’s recent decision in Ragab v. Howard declined to enforce several arbitration agreements because the different procedures specified in the different clauses suggested there had been no meeting of the minds as to the desire to arbitrate.
Fourth Circuit declines to enforce arbitration agreement purporting to waive application of federal law By John R. Schleppenbach Alternative Dispute Resolution, October 2016 The Fourth Circuit in Hayes v. Delbert Services Corporation recently declined to enforce an arbitration clause on the grounds that it contained a waiver so extreme that it rendered the arbitration remedy essentially illusory.
How substantial is substantial? Conflicts of interest and government attorneys By John R. Schleppenbach Government Lawyers, June 2016 The Model Rules of Professional Conduct provide that “a lawyer who has formerly served as a public officer or employee of the government . . . shall not . . . represent a client in connection with a matter in which the lawyer participated personally and substantially as a public officer or employee, unless the appropriate government agency gives its informed consent, confirmed in writing, to the representation.”
Second Circuit denies sovereign immunity to instrumentality of foreign state that caused securities fraud losses in the U.S. By John R. Schleppenbach Business and Securities Law, May 2016 Foreign sovereigns who marketed securities in the U.S. and caused losses there will not be able to assert sovereign immunity to avoid U.S. securities fraud actions.
Tenth Circuit holds failure to pay arbitration fees can result in resumption of court proceedings By John R. Schleppenbach Alternative Dispute Resolution, November 2015 In the recent case of Pre-paid Legal Services, Inc. v. Cahill the court held the stay of litigation may be lifted and a federal lawsuit maintained.
Eighth Circuit denies non-signatories standing to challenge arbitration agreement By John R. Schleppenbach Alternative Dispute Resolution, June 2015 A summary of the recent decision in Conners v. Gusano’s Chicago Style Pizzeria.
Third Circuit weighs in on extraterritorial application of U.S. securities laws By John R. Schleppenbach Business and Securities Law, June 2015 Deciding an issue of first impression, the Third Circuit joined the growing consensus that a securities transaction can be considered domestic (and therefore subject to U.S. securities laws) if title is passed or irrevocable liability to carry out the transaction is incurred in the United States.
Third Circuit weighs in on extraterritorial application of U.S. securities laws By John R. Schleppenbach Business Advice and Financial Planning, May 2015 This court has recently weighed in on extraterritoriality in United States v. Georgiou, equating the place where the purchase or sale occurred with the place where liability to carry out the transaction was incurred.
Seventh Circuit dismisses appeal seeking to dictate issues to arbitrator for lack of jurisdiction By John R. Schleppenbach Alternative Dispute Resolution, February 2015 As the Seventh Circuit recently reminded the parties to a pension funding arbitration in Central States, Southeast & Southwest Areas Pension Fund v. US Foods, Inc., review of an arbitrator’s determinations may generally only be had after, and not during, the arbitral hearing.

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