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 […]
Hiring a securities lawyer, whether you are an investor or a financial professional, is the most important decisions in recovering losses, or in defending against claims and investigations. However, the tag […]
PLEASE NOTE: THE LAW IS AREA HAS CHANGED. WE PRESENT THIS ARTICLE FOR HISTORIC PURPOSES. RETAIN A SECURITIES ATTORNEY TO PROPERLY ADVISE YOU ON ELIGIBILITY ISSUES. Introduction While nearly every […]
MISREPRESENTATION IS ONE OF THE MOST used and abused claims in securities arbitration. A form of a fraud claim, misrepresentation involves knowingly making false statements that a listener will […]
By Mark J. Astarita, Esq. Suitability is an often misunderstood concept in the law. To most, it means that that brokers are required to ensure that their customers invest only […]
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