Brokers

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 […]

Markups, Markdowns

Markups, Markdowns

In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come under increasing scrutiny from the SEC and the NASD. Essentially, […]

The Wells Notice

Receiving a subpoena from the SEC, or an 8210 Request from FINRA can be the start of a long investigative process. How you handle that process can dictate the end […]

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 […]