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.
Despite Strong Federal Policy in Favor, EEOC Takes Substantial Steps Against Arbitration of Federal Discrimination Claims
L. Julius M. Turman of Littler Mendelson, P.C.
This article summarizes the conflict with current EEOC and Federal policy in which the EEOC is taking substantial steps away from allowing employers to require mandatory arbitration for discrimination claims.
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.
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.
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.
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.