Tag: Arbitration

FINRA Discovery Guide

FINRA Discovery Guide

Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might possibly have any bearing on any issue in the case, […]

Churned or Traded?

Churned or Traded?

The common perception among the general public is that a customer who trades his or her account on a regular basis is a broker’s dream. While the commissions generated by […]

Overview of the Securities Arbitration Process

Overview of the Securities Arbitration Process

Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has represented broker-dealers, investment advisers, hedge funds, investment partnerships, individual brokers […]

Hearing Hearing 

Hearing Hearing 

Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some of the formalities. There are opening statements, first by the […]

Churned or Traded?

Churned or Traded?

Churning is excessive trading in a customer’s account by a broker taken in the context of the customer’s financial situation and investment objectives. While no one test is available to […]

Typical Customer Claims

Typical Customer Claims

Despite the rise in claims filed to over 7,000 a year, they do fall into categories.   I have been representing customers and brokers in securities arbitration matters since 1982. […]

Avoiding Customer Disputes

You can take steps to avoid being sued by your customers. By Mark J. Astarita, Esq. Introduction Since the United States Supreme Court Decision in MacMahon v. Shearson American Express, […]

Securities Arbitration Forums

The arbitration department of the Financial Industry Regulatory Authority is the site for virtually all of the securities arbitrations that are conducted in the United States. Arbitrations are also conducted […]