Tag: Astarita Commentary

Cold Calling Rules

Cold Calling Rules

Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of marketing a service or product by calling prospective clients “cold” […]

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, […]

NAC Upholds Due Process

NASD Adjudicatory Council Strikes Case Because of Delays Follows SEC Lead in Upholding Rights to Due Process and Fundamental Fairness after 7-year delay in commencing proceedings. By Mark J. Astarita, […]

LAW REVIEW: Liar, Liar?

LAW REVIEW Form u-4 and form u-5 are two of the most oppressive and abused securities industry documents. recent changes were approved without a single comment from the industry. The […]

Hearing Hearing

Hearing Hearing

By Mark Astarita, Esq. Past columns have touched on the arbitration hearing itself and have raised the question just what happens during an arbitration hearing. It seems that there are […]