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Securities
Arbitration Attorney
Introduction
to Registration of Investment Advisers
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Blogs,
Statutes, Codes and Regulations, Federal Courts,
State Courts, Commentary, Publications, General,
Commentary
Kentucky Seizes Domain Names Here is an idea that
has not been well thought out. Kentucky, which prohibits online gambling, got a judge to issue a
forfeiture order to internet registrars, seizing the domain names of gambling sites!
One Thing BigLaw Gets Right Here is something that
BigLaw does better than most; pro bono. The National Law Journal's varied pieces on "Pro Bono
Awards" points to the pro bono work of BigLaw, and they certainly do a good job in that area.
Corporate Blogs
Uner
the Counter It's all about the people, of Wall Street. Who's getting paid, laid, hired and
fired on The Street.
Federal Courts
United States Court of Appeals for the Tenth Circuit Full text of all decisions, since 1995,
searchable, by parties or keywords. From Emory.
United States Court of Appeals, First Circuit Full text of all decisions, since 1995,
searchable, by parties or keywords. From Emory.
United States Court of Appeals, Second Circuit The
Second Circuit joins the courts online. Decisions courtesy of Pace University. Database begins at
September, 1995
Database of Federal Court BBSes While not yet on the Internet, the Federal Courts are
online, with their own bbs systems. Information on rates and connecting available on the 'Net.
United States Court of Appeals, Third Circuit Full text of all decisions, from May, 1994
United States Court of Appeals, Fourth Circuit Full text of all decisions, since 1995,
searchable, by parties or keywords. From Emory.
United States Court of Appeals for the Eleventh Circuit The first Federal Appellate
Court with its decisions on the Web. Full text of all decisions, since 1995, searchable, by parties or
keywords. From Emory.
United States Court of Appeals for the
Eighth Circuit From Law Journal Extra, full text of decisions, but not searchable.
United States Court of Appeals for the Seventh Circuit Full text of all decisions, since
1995, searchable, by parties or keywords. From Emory.
United States Court of Appeals for the Sixth Circuit Full text of all decisions since March,
1995, searchable, by parties or keywords. From Emory.
Federal Arbitration
Decisions Full text of opinions from the federal courts relating to arbitration.
United States Court of Appeals for the Fifth Circuit Full text of all decisions since
1992.
General Information
Case Western
University Another terrific source of legal documents and text, and the source of many of
the Supreme Court links at this site.
Profiles of New York County Supreme Court Judges From the New York Law Journal,
complete background information on sitting judges, including past employment; professional
affiliations, likes and dislikes and significant decisions. A must read for the New York litigator
NYSE Disciplinary Actions A searchable database of all NYSE disciplinary
proceedings since 1996
FINRA
District Offices Complete addresses and telephone numbers of the NASDR District
Offices, direct from the NASDR.
Government Resources
United
States White House Information about the House itself, including a great virtual tour. The
tour is very graphic oriented, and is therefore a bit slow, but school children, and quite a few adults,
are having a great time "seeing" the inside of the White House.
The United States
Postal Service The Post Office on the Internet? Here they are.
The Internal Revenue Service The IRS is on the Web, and actually has some
useful information available. You can also go directly to their form library
Thomas This site is another excellent government resource, as it will allow you to search,
by word or phrase, for bills which are pending in either house of Congress, and searches can be
limited to only bills that have passed, or for which floor action has occurred. Try running a search
on your favorite topic, and you might be amazed at how many bills are being proposed about it.
United States
Patent and Trademark Office Forms, applications, and information regarding patents and
trademarks, straight from the PTO.
The Federal Web Locator This site seems to change daily as
more Federal agencies join the Web. It is an excellent starting place to find information about
various agencies, although the amount of information at the site of a particular agency is hit or
miss.
U.S. House Of
Representatives - Home Page The House of Representatives Home Page is an excellent
starting point to research all of the Web for information relating to the government, including laws,
statutes, pending bills, and more.
The
SEC's EDGAR Database Now back under the control of the Securities and Exchange
Commission, the EDGAR database is the electronic filing system for disclosure documents of
public companies. This link will take you to the main page of the database. Be sure to read the
introductory material before delving into the system.
The Securities and
Exchange Commission The SEC is online, with quite a bit of material, including full text
copies of the SEC Digest, text of speeches, position papers and other documents.
Securities Bills in Congress What is
Congress up to these days. Search for bills and legislation affecting the securities industry.
Information and Lists
Securities Arbitration Forums Names, addresses and telephone numbers of the
administrators of the various securities and commodities arbitration forums across the country,
with links to the home pages of the forums that are on the Web.
Filing a
Customer Complaint The NASD's guide to filing a customer complaint. The NASD
recommends that you first communicate your concerns to your broker, then to the manager of your
broker's office, and ultimately to the NASDR if you do not receive a satisfactory response from the
firm.
Securities Arbitration Procedures Introductory material on the arbitration
process, written by the Securities Industry Association.
Arbitration Procedure Important information on resolving disputes against
stockbrokers.
Introduction to NASD Mediation The NASD's introduction to its mediation program, an
alternate means of resolving disputes with securities brokers.
Legal Blogs
Antitrust Law Blog From
Professor Shubha Ghosh, University at Buffalo Law Schoo.
Ernie
the Attorney "Searching for Truth and Justice in an Unjust World." General comments on
law and law related topics.
Legal Research Sites
State Laws On The Internet
News Items
Pro Or Hourly Wage Earner? UBS Pays $89 Million to Settle Overtime
Suits UBS announced it had agreed to pay $89 million to settle class-action wage and
hours claims of reps filed this past summer in several federal courts. Smiliar lawsuits have been
filed against Morgan Stanley, Smith Barney, Wachovia and Ryan Beck, and came on the heels of
Merrill's settlement of similar claims.
Merrill Brokers to Get Less Money Now, More Later—If They Stay Merrill
Lynch has changed the way it pays its brokers to include more deferred compensation and less
cash. The new package rewards brokers who stay a long time, while penalizing those that don’t. Its
aim is reducing turnover, but may also improve the firm’s earnings.
Compliance Officer Wins Attorneys Fees from SEC Compliant not
"substantially justified, ALJ orders SEC to pay attorneys fees.
News Sites
Barron's
SEC News Digest
Online Publications
SEC Opinions Opinions issued by the Commission on appeal of Initial Decisions or
disciplinary decisions issued by self-regulatory organizations (e.g., NYSE or NASD).
Practice Topic
CFTC Enforcement Orders and Adjudicatory Orders Full text of recent CFTC
complaints and orders
Trade
Secret Law Attorney Mark Hallign's Trade Secret Law home page.
Advertising Law Attorney Lew Rose's Advertising Law Home Page.
Technology
Law Jeff Kuester's Technology Law Resource - "This continually updated website is
intended to be the most comprehensive resource available on the Internet for information related to
technology law, especially including intellectual property law (patent, copyright, and trademark
law."
Patent
Law The Patent Law Web Server from Oppedahl & Larson.
Publications
ADR Currents-The Newsletter of Dispute Resolution Law and Practice From the
American Arbitration Association - "This newsletter for the legal community tracks and explores the
news and issues in all areas of ADR practice, sharing the perspectives of advocates, neutrals,
judges, legislators and others. ADR Currents also includes digests of court decisions and a report
on new programs and issues of interest to the courts. The "Lawyers' Letter" feature treats key
legal issues in depth.
Dispute
Resolution Journal Online Articles of Interest on Mediation and Arbitration, from the
AAA.
Arbitration and ADR
News From LJX, a collection of articles relating to arbitration
The New York Law
Journal The Legal Newspaper for New York State
Net Watchers Magazine Great online magazine about the law, technology and the
Internet.
Federal Communications Law Journal From the Indiana University School of Law,
"The Journal publishes three issues per year, including articles, student notes, commentaries,
and book reviews examining a wide range of U.S. and international communications and
information issues, including telecommunications, the First Amendment, broadcasting, telephony,
computers, intellectual property, communications and information policymaking, and related
fields.
Technology Law Review An online law review, concentrating on issues relating to
technology law.
Corporate Law News from
Law Journal EXTRA!
Business Law Today The ABA section news magazine for business lawyers. Includes
full-text of articles from recent issues.
ADR In
Trademark & Unfair Competition Disputes Publication by the International Trademark
Association
Federal Practice News From
Law Journal EXTRA!
Arbitration and Case Evaluation By Atlanta Commercial Mediation
How to Use Small Claims Court From Lawguru.com
Money
Laundering Alert A monthly publication reporting on money laundering. Bankers around
the world are other companies dealing in international finance are advised to be well informed in
complying with the requirements of the U.S. laws and the laws of other countries related to money
laundering.
Recent Court Decisions
Matter of Alpha Bytes Computer Corp. v.
Slaton, Sup.Ct., New York Co., NYLJ 5/1/98, Justice York. Punitive damages award is
upheld. "If the parties to an arbitration contract agree to refer punitive damages claims to the
arbitrator, the FAA ensures that their agreement will be enforced according to its terms even if a
rule of state law would otherwise exclude such claims from arbitration."
Matter of D.H. Blair & Co. v. Massimi,
Sup.Ct., New York Co., NYLJ 4/9/98, Justice Bransten Arbitration not stayed for brokerage
facing criminal inquiry
Prudential Securities Incorporated v.
Brigianos, 1st Dept 9/30/97 (NYLJ 10/2/97) Arbitration subpoena served on non-party
held to violate his Fifth Amendment privilege against self-incrimination and is quashed. By
Sullivan, J.P.; Nardelli, Williams and Tom, JJ.
Related Sites
The 10b-
5 Daily News and events related to securities class action litigation. Containing all facts,
with particularity, and an occasional dose of commentary.
U.S. Treasury
Department Home of the Secret Service.
The Securities
Law Home Page Securities Law, regulation of stock and commodities brokers,
arbitration and other securities law related resources. Consistently voted best of the Web by every
law related survey.
JAMS/Endispute Commercial
Arbitration Rules From JAMS, the rules and procedures for most commercial
arbitrations
JAMS/Endispute Arbitration Rules for
Employment Cases From JAMS, a private dispute resolution service, the rules for use in
employment cases
American Arbitration
Association "With 35 offices nationwide and cooperative agreements with arbitral
institutions in 50 other nations, the American Arbitration Association is the largest full-service
provider of dispute resolution services and cutting edge educational programs in the world
dedicated to the resolution of disputes through the use of mediation, arbitration, elections and
other out-of-court settlement procedures. The Association provides a forum for the hearing of
disputes, tested rules and procedures, and a roster of impartial experts of the highest caliber to
hear and resolve cases."
Employment ADR Synopsis An overview as well as the advantages and disadvantages of
arbitration and mediation of employment disputes.
International Trade Arbitration Documents UNCITRAL Model Law on
International Commercial Arbitration
Profiles of New York County Judges From the New York Law Journal, complete
background information on sitting judges, including past employment, professional affiliations,
likes and dislikes and significant decisions. A must read for the New York litigators.
The New York Law
Journal An excellent resource for the New York practitioner. The web site is almost a
complete online version of the print newspaper, with additional features, such as calendars,
judicial profiles, decisions of interest.
Law Related Web Search Engines Mega Listings of Legal Resources and Search
Engines from the Georgia State University College of Law.
Internet
Legal Resource Guide One of the more complete and updates guides to online legal
resources, from the University of Texas.
Timeslips
Corporation Timeslips, the time and billing software company with the product of the
same name is online.
Computer Law
Association This was a brand new site on October 19, 1995, with very little content, but it
looks very promising.
New York State
Trial Lawyers Association "Founded in 1953, NYSTLA is New York's largest statewide
Bar Association dedicated to the representation of the consumers of New York and preservation of
the Civil Justice system. Comprised of 4,500 members throughout the state, NYSTLA and its
affiliate organizations offer a variety of services and benefits to the bench and bar."
CourtTV Home Page Truly one of the best law related sites on the web, in terms of style,
presentation, and most importantly, content.
Congressional E-Mail Addresses Updated list of email addresses for
Senators and Representatives.
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