Brokers

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. […]

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, […]

Employment Discrimination Claims

Employment Discrimination Claims

      Employment Discrimination Arbitrations For many years, all claims that a registered representative had against a broker/dealer was subject to mandatory arbitration, by virtue of the representative’s association […]