The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
There are thousands of complaints filed every year, and they fall into categories. UPDATED November 19, 2021. The trial of customer arbitration claims is a large part of my legal practice. I have been representing customers and brokers in securities arbitration matters since 1982. In those 35 years, I have […]
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Fraud In Execution of Arbitration Agreement is Defense to Confirmation of Award Even if the appellant did not move to vacate or object to the arbitration proceeding. Trading Direct v. LaRusso, 2002 Conn. Super. LEXIS 480 (Conn. Super., 2/7/02). Agreement to Arbitrate * Appealability * Award Challenge * Collateral Attack […]
Customers who abuse the system, and harm their brokers. By Mark J. Astarita, Esq. These days, it seems that every major publication, and every television news show, has done, or is doing, a story on “rogue brokers” – brokers who care nothing about their customers, or their firms, or the […]
NASAA Opposes Account Transfer Interference Joins NASDR in supporting customer right to transfer account, regardless of broker/firm disputes By John M. Baker, Esq. [Ed. This post is from 2001 and is presented for historical purposes.] When registered representatives change their brokerage firms and try to take their customers with them, […]
