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Featured News, Commentary and Related Sites


Featured Articles

The Case for Flat Fees For Defense of Securities Arbitration Claims

The defense of customer claims in arbitration can be handled on a flat fee basis. Beam & Astarita, LLC provides the analysis and rationale.

Lehman Principal Protected Notes Arbitrations

Arbitration claims arising from the marketing of Lehman Principal Protected Notes are on the rise as investors seek recover from other firms and brokers for their losses. Analysis of the issues and the claims by Mark J. Astarita, Esq.

Introduction to Securities Arbitration

The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process.

Featured Books

Securities Arbitration Procedure Manual

A comprehensive guide to securities arbitrations, with caselaw citations, discussion of strategy and theory, forms, statutes and much more.

Securities Regulation in a Nutshell

This book summarizes the essential background and current status of each major area, while keeping details and citations to a minimum. It includes references to the relevant statutes, SEC rules and releases, and other governmental materials, as well as to "leading cases."

NASDR Notices to Members

09-74 SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
Effective January 18, 2010, amendments to the Customer and Industry Codes of Arbitration: 1- clarify the definition of "associated person" and make it conform to the same term in the FINRA By-Laws; 2-streamline a case administration procedure; and 3- clarify that customers could be assessed hearing session fees based on their own claims for relief in connection with an industry claim.The amendments will apply to claims filed on or after the effective date.


Introductory Material

Introduction to the Federal Securities Laws
It all starts here. A primer on the federal securities laws.

Introduction to Securities Arbitration
The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 25 years. An excellent introduction to the process.

Typical Customer Arbitration Disputes
A
n overview of the claims which are typically brought by retail customers against their stock brokers.

Churned or Traded?
An examination of the elements of a churning claim, and what makes a churned account different from a traded account.

Judging Suitability
A broker's recommendations to a customer must be suitable for that customer's investment goals and experience. What does that mean in the real world, and how is suitability determined?

FINRA Forms

Uniform Forms Guide - FINRA has put all of its arbitration related forms, including uniform submission agreements and the claim information sheet, in one PDF file, which also contains helpful information regarding the filing of an arbitration claim.

Arbitrator Application - FINRA always needs qualified arbitrators. The process starts with this application

Claimant Submission Agreement - FINRA requires the parties to sign a submission agreement. The claimant's form is here, respondents recieve the form when they are served with the statement of claim.

Request for Mediation - use of FINRA's mediation services are not required, but this is the form to request FINRA's assistance in starting the process

Article Archives

Article Archives
Collection of all of the arbitration articles and commentary from the site, arranged in chronological order. You can also search the site for relevant commentary

Discussion Forums

In the Arbitration Forum, attorneys, investment bankers and corporate executives discuss financing issues. Go directly to the Arbitration Forum, or search all of the forums for the topics of interest to you.

Arbitration Codes and Statutes

Federal Arbitration Act
The Federal Statute governing arbitration proceedings


FINRA Code of Arbitration Procedure for Customer Disputes
FINRA'S rules for the arbitration of disputes between firms and customers.

FINRA Code of Arbitration Procedure for Industry Disputes
FINRA's rules for the arbitration of disputes between firms or registered persons.

AAA Commercial Arbitration Rules
From the American Arbitration Association, the rules, the procedures and more. The AAA's commercial arbitration, with its securities supplement apply to securities arbitrations at the American Arbitration Association.

Uniform Arbitration Act
This is the model Act, used as the basis for the drafting of state statutes relating to arbitration.

Introduction to FINRA Mediation 
FINRA's introduction to its mediation program, an alternate means of resolving disputes with securities brokers. 

Scheduling Order (PDF format 86 KB)
The panel Chairperson has the responsibility to use the Scheduling Order to record the agreements reached during the Initial Prehearing Conference. The Chairperson should submit the Scheduling Order to NASD Dispute Resolution within 48 hours of the conference by electronic mail or facsimile transmission.

Arbitrator's Script (PDF format 137 KB)
The Arbitrator's Script sets forth the procedures for the Initial Prehearing Conference. In the discretion of the panel, these procedures may be varied to allow all parties a full and fair opportunity to present their respective positions.

NASAD Form of Order on Request for Permanent Injunction (PDF)
The Order on Request for Permanent Injunction is completed by arbitrators to record the arbitrators' decision on a party's request for permanent injunction in intra-industry cases.

NASD Form of Order of Production (PDF)
For use in an NASD arbitration, this form is used to compel a party or a member firm, or an associated person to produce documents in an NASD arbitration.

NASD Form of Order of Appearance (PDF)
For use in NASD Arbitrations, this form is used to have an NASD member, or associated person appear and testify an an arbitration hearing.

NASD Form of Arbitration Subpoena (PDF)
For use in NASD Arbitrations, to unregistered third parties.

NASD's Oath Of Arbitrator (PDF)
Review the Oath of Arbitrator that must be taken by all NASD-approved arbitrators. The oath must be executed by NASD arbitrators for each case on which they serve.

Arbitrator Update Form (PDF)
If you are already an arbitrator on the NASD roster, use this online form to update NASD Dispute Resolution of any new or revised information about your status.

Arbitrator Application (PDF)
Become an arbitrator at the NASD! They always need public arbitrators, and actually need industry arbitrators in parts of the country. This form starts the process

Respondent(s) Uniform Submission Agreement (PDF_
The NASD's Uniform Submission Agreement for use by Respondents in NASD arbitrations

Claimant(s) Uniform Submission Agreement (PDF)
The NASD's Uniform Submission Agreement for use by Claimants in NASD Arbitrations



 
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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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