Featured Articles
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 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.”
Featured Guides and Information
The Arbitrator’s Guide (PDF 474 KB)
FINRA developed the new Arbitrator’s Guide (Guide) to provide arbitrators with a single resource for case guidance. It replaces the Arbitrator’s Reference Guide and the SICA Arbitrator’s Manual and focuses on the procedures specific to arbitrations administered by FINRA.
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 Commentary
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 – An 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?
Related Articles
- Not All Trial Lawyers Can Handle All Kinds Of Trials
- Hearing Hearing
- Insight into the FINRA Arbitrator Selection Process
- Was the Account Churned?
- What is Securities Arbitration?
- FINRA Discovery Guide
- Churned or Traded?
- Overview of the Securities Arbitration Process
- Hearing Hearing
- Insight into the FINRA Arbitrator Selection 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
Arbitration Codes and Statutes
Federal Arbitration Act
The Federal Statute governing arbitration proceedings
FINRA’S rules for the arbitration of disputes between firms and customers.
FINRA’s rules for the arbitration of disputes between firms or registered persons.
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.
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.
