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.
Trends in the Canadian Mining Sector
John S M Turner
Worldwide exploration budgets rose to $3.5 billion in 2003, up 13% from 2002. The main recipients of increased exploration spending by companies were: Canada ($170 million); South Africa ($90 million); Mexico ($30 million); and Ghana, the United States and Venezuela, ($20 million each).
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.
Capital Markets and UK Tax: Seeking Continuity During Euro conversion
Tim Hailes of Cadwalader, Wickersham & Taft LLP
The euro officially came into existence on January 1, 1999, replacing the national currencies of eleven EU member s.
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.
Microcap Stock: A Guide for Investors
U.S. Securities and Exchange Commission
Guide from the Securities and Exchange Commission for consumers on how to find information about microcap stocks, what red flags to consider, and where to turn if you run into trouble.
Taking the Long View on IPO's: Getting there and beyond
Steven L. Toronto,Charles C. Comey and Paul W. Boltz of Morrison & Foerster LLP
The last several months have seen a dramatic turn-around in the market for initial public offerings in the U.S. by Chinese companies. Companies such Linktone Ltd., which Morrison & Foerster LLP represented in its global IPO and continues to represent in ongoing compliance and corporate work, have recently raised significant money on Nasdaq or the New York Stock Exchange and received significant press coverage worldwide.
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.
Cold Calling Alert
U.S. Securities and Exchange Commission
A brochure from the Securities and Exchange Commission which tells consumers about legal rights, how to deal with cold calls, how to stop them, and how to evaluate any investment opportunity that comes their way over the phone.
Corporate Governance Seminar. Seminar Summary of Speaker Jeffrey Knetsch of Brownstein Hyatt & Farber
Jeffrey M. Knetsch of FindLaw M V
Jeffrey Knetsch, partner at Brownstein Hyatt & Farber, discussed the importance of the new attorney rules of conduct for securities lawyers at FindLaw Corporate Counsel Center's Corporate Governance seminar at Stanford University.
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.
Rules of Conduct for Securities Attorneys
Jeffrey M. Knetsch of Brownstein Hyatt Farber Schreck, LLP
Jeffrey Knetsch, partner at Brownstein Hyatt & Farber, discussed the importance of the new attorney rules of conduct for securities lawyers, "The SEC's 'up the ladder' reporting requirements for attorneys went into effect in August 2003 and will have a significant impact on the traditional attorney client relationship for attorneys representing public companies..."
NASD Proposes New "Hot Issues" Rule
Sidley Austin LLP
The Securities and Exchange Commission (the "SEC") is soliciting comment on a proposed rule filed by the National A.