Arbitration

FINRA Discovery Guide

FINRA Discovery Guide

Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might possibly have any bearing on any issue in the case, […]

Churned or Traded?

Churned or Traded?

The common perception among the general public is that a customer who trades his or her account on a regular basis is a broker’s dream. While the commissions generated by […]

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 […]

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 […]

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. […]

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, […]

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 […]