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Finding A Securities Broker ( July 2000 )
It's your money. Do you have reason to trust him/her and the company he/she works for? 1. What you should l. -
Pre-Dispute Arbitration of Discrimination Claims ( April 2000 )
This article reviews the Desiderio v. National Association of Securities Dealers, Inc. case and examines the issues employers should be aware of in constructing mandatory pre-dispute arbitration programs. -
NASD Proposes New "Hot Issues" Rule ( January 2000 )
The Securities and Exchange Commission (the "SEC") is soliciting comment on a proposed rule filed by the National A. -
Update: The New Audit Committee Rules ( January 2000 )
This update summarizes the new audit committee rules which took effect in the year 2000. -
NASD Adopts New Regulation For Arbitration Of Statutory Discrimination Claims. ( October 1999 )
The National Association of Securities Dealers (NASD) just adopted regulations regarding the arbitration of statuto. -
NASD Arbitration: An Insider's Perspective ( October 1999 )
Much has been written about the arbitration process since the U.S. Supreme Court upheld the validity of pre-dispute. -
Removing Arbitrators in NASD Arbitrations ( October 1999 )
It's happened to all of us. You're two days into a hotly contested arbitration hearing. You've battled your way p. -
Questions You Should Ask About Your Investments ( June 1998 )
List of questions prepared by the Securities and Exchange Commission for consumers regarding what they should ask about their investments and what to do if they encounter problems. -
What Is Mediation And How Does It Work? ( March 1998 )
Mediation is a procedure in which the parties discuss their disputes with the assistance of a trained impartial third person(s) who assists them in reaching a settlement. It may be an informal meeting among the parties or a scheduled settlement conference.
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