Arbitration

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?

To the uninitiated, sometimes a trading account looks like a churned account By Mark J. Astarita, Esq. The common perception among the general public is that a customer who trades […]

Typical Customer Claims

Typical Customer Claims

Despite the rise in claims filed to over 7,000 a year, they do fall into categories. By Mark J. Astarita, Esq. I have been representing customers and brokers in securities […]

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 […]

FINRA Arbitration Forms

FINRA Arbitration Forms

Scheduling Order (PDF format 86 KB) The panel Chairperson has the responsibility to use the Scheduling Order to record the agreements reached during the Initial Prehearing Conference. The Chairperson should […]