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Introductions - Guides - Codes - Forms
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The defense of customer claims in arbitration can be handled on a flat fee basis. Beam & Astarita, LLC provides the analysis and rationale.
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.
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.
A comprehensive guide to securities arbitrations, with
caselaw citations, discussion of strategy and theory, forms, statutes
and much more.
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."
to the Federal Securities Laws
to Securities Arbitration
Customer Arbitration Disputes
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
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.
Codes and Statutes
The Federal Statute governing arbitration proceedings
Code of Arbitration Procedure for Industry Disputes
Commercial Arbitration Rules
to FINRA Mediation
Securities Arbitration Attorney
Securities Laws, Rules and Regulations
FINRA Arbitration Code for Customer Disputes
FINRA Arbitration Code for Industry Disputes
Securities Law Calendar
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 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 firstname.lastname@example.org.
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