Compliance

Who Needs to Register

Who Needs to Register

By Mark J. Astarita, Esq. I am often asked by readers and visitors to my web site whether particular people have to register with the NASD. The question is not […]

Attempt to Void Settlement

Attempt to Void Settlement

Arbitration Panel Orders Return of Settlement Payment, and Awards Nothing. WEINBERG v. BEAR STEARNS & CO., INC., NYSE ID #2000-008216 (Los Angeles, 10/18/00): Recently confirmed, this Award presents an unusual […]