|
|
| Arbitration | Hedge Funds | Mutual Funds | Investors | Brokers | Advisers | CorpFin | IPO | Compliance | ||
| Search | News | Law | Blogs | SEC Rules | Caselaw | Bookstore | Messages | Links | ||
|
|
||||||||||
| Arbitration Information Center |
|
|
Introductions - Guides - Codes - Forms Featured News, Commentary and Related Sites Introduction to Securities
Arbitration Securities
Arbitration Procedure Manual 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." Commentary
Comment Period For Motion To Dismiss Ban Is April
10
NASDR Notices to Members
08-20 FINRA Requests Comments on Proposed
Changes to Forms U4 and U5
News Items
FINRA Hearing Panel Dismisses 2004 Sales Practices
Complaint Against H&R Block Financial Advisors
The panel ruled that FINRA's Department of Enforcement failed to show by a preponderance of
evidence that H&R Block registered representatives misrepresented or omitted material facts in
connection with sales of Enron bonds, or that the firm failed to implement adequate supervisory
systems and procedures. Specifically, the Panel "found no evidence" that the firm "engaged in
other wrongful conduct."
A FINRA hearing panel finds "no evidence" to support FINRA charges against a BD? While this
raises a number of concerns regarding the quality of the investigative process at FINRA and its
decision making process in commencing litigation, the proceeding was undoubtedly a significant
expense for the respondents, as the hearings consumed 24 days of testimony.
We are seeing an increasing number of hearing panels dismissing all or parts of enforcement
cases. FINRA needs to examine the quality of its investigative procedures, and to re-examine its
perception of brokers and brokerage firms, which may be clouding its collective judgment in
commencing cases where there is no evidence of any wrongdoing.
The panel issued a detailed, 54-
page decision.
BlackRock bails out its auction-rate
holders That means that the holders of the ARS will not have a loss on their investment. Of couse, this
all assumes that Blackrock follows through. Reports say that it has obtained 1.9 billion in financing
for the bail out, but Blackrock has over 9 billion dollars in ars in its mu
Ex-Brookstreet brokers file $36M
claim
Related Sites
Subprime-related lawsuits clogging
courts
Introduction
to the Federal Securities Laws Introduction
to Securities Arbitration Typical
Customer Arbitration Disputes Churned
or Traded? Judging
Suitability Article Archives Article
Archives 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. How
To Guides How
to Start an Arbitration - from the NASD, a collection of documents
relating to the arbitration process, with links to the necessary forms. How
to Start a Mediation - the NASD also sponsors a mediation program. NYSE
Arbitration Rules
Uniform
Arbitration Act Introduction
to NASD Mediation Arbitration
Related Forms NASD
Arbitration Form Guide - The NASD 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 informationr
regarding the filing of an arbitration claim.
Scheduling Order (PDF format 86
KB)
Arbitrator's Script (PDF format 137
KB)
NASAD Form of Order on Request for
Permanent Injunction (PDF)
NASD Form of Order of Production (PDF)
NASD Form of Order of Appearance (PDF)
NASD Form of Arbitration Subpoena (PDF)
NASD's Oath Of Arbitrator (PDF)
Arbitrator Update Form (PDF)
Arbitrator Application (PDF)
Respondent(s) Uniform Submission Agreement
(PDF_
|
Securities Arbitration Attorney Securities Laws, Rules and Regulations SECLaw.com Blog Search Arbitration Forums NASD Arbitration Code Article Archives SECLaw.com Bookstore Securities Law Calendar Related Sites Questions? Comments? Contact
|
|
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 Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents financial professionals in a wide variety of matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com.
Copyright 2008. All Rights Reserved. VGIS Communications,
LLC Visit Beam & Astarita, LLC |