What is and what to expect in Securities Arbitration
Law Offices of Steve A. Buchwalter
Arbitration of securities disputes has been in effect for many years, but it didn't take off until 1987, when.
NASD Arbitration: An Insider's Perspective
Alan J. Foxman of Alan R. Thomas, P.A.
Much has been written about the arbitration process since the U.S. Supreme Court upheld the validity of pre-dispute.
Invest Wisely: Advice From Your Securities Industry Regulators
U.S. Securities and Exchange Commission
Publication from the Securities and Exchange Commission which provides basic information to help investors select a brokerage firm and sales representative, make an initial investment decision, monitor an investment and address an investment problem.
NASD Arbitration of Securities Disputes
Donald R. McNeil
Since 2000, new case filings with National Association of Securities Dealers ("NASD") Dispute Resolution, Inc. are increasing at record levels.
Removing Arbitrators in NASD Arbitrations
Alan J. Foxman of Alan R. Thomas, P.A.
It's happened to all of us. You're two days into a hotly contested arbitration hearing. You've battled your way p.
Mandatory Arbitration: A Growing Concern for Employees
Our present legal system was built upon a foundation of certain rights and remedies. The most basic and important .
International Investors? Rights and Remedies
Madelaine Eppenstein of Eppenstein and Eppenstein PLLC
The globalization of markets, the internationalization, merger and consolidation of major investment firms, the joinder of commercial and investment banking and the interest of international public investors in utilizing the services of reputable, brand-name brokers, has contributed to a concomitant increase in customer claims filed in arbitration by both domestic and international investors. [FN1] Yet, in practice, very few defrauded international investors who do business with United States securities and commodity futures firms through branch offices based both outside of and within the U.S., appear to be aware of their rights and remedies.
Securities: Other Things You Should Know
Law Offices of Steve A. Buchwalter
1. Statutes of Limitations. Don't delay. A statute of limitations is the time period in which you must b.
Arbitration Showdown
Joseph S. Cohen and Michael B. Lee of Beirne, Maynard & Parsons, L.L.P.
Financial planners may have to defend themselves against a whole range of client claims. However, all disputes originate from one or more of five key failings: failure to know and understand the client, failure to make full and timely disclosure of material information, failure to make a contemporaneous record of events, failure to supervise staff adequately, and failure to anticipate problems. Advisers who grasp these implications will spend more time working with satisfied clients and less time involved in expensive arbitration proceedings.
California Federal Court Further Limit Arbitration of Employment Claims
Pillsbury Winthrop Shaw Pittman LLP
Duffield v. Robertson Stephens & Company, __ F.3d __ (9th Cir. May 8, 1998), and Davis v. LPK Corporation, (N.
Pre-Dispute Arbitration of Discrimination Claims
Jeffrey S. Klein,Nicholas J. Pappas and Janet Goldberg of Weil, Gotshal & Manges LLP
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 Adopts New Regulation For Arbitration Of Statutory Discrimination Claims.
Joshua Goodman of Paul, Hastings, Janofsky & Walker LLP
The National Association of Securities Dealers (NASD) just adopted regulations regarding the arbitration of statuto.
Securities and Commodities Arbitration in Kansas City
Diane Acker Nygaard
Two events have conspired to increase the number of claims filed by investors against stock and com.
Finding A Securities Broker
Law Offices of Steve A. Buchwalter
It's your money. Do you have reason to trust him/her and the company he/she works for? 1. What you should l.
Mandatory Arbitration of Employment Dispute Upheld
David Edwards of White and Williams LLP
The substantial increase in lawsuits by disgruntled employees and former employees is forcing employers to look for.
Arbitration Expert Predicts 21st Century Trends
Dykema Gossett PLLC
Thomas J. Stipanowich, a law professor at the University of Kentucky and a nationally- recognized expert in the fie.