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 […]

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 […]