Brokers

 Commentary, news and links of interest to financial advisers.

Arbitration Brokers Investors

Liar, Liar?

Misrepresentation cases in securities arbitration By Mark J. Astarita, Esq. This is one of Mark’s original columns from September 1996 in Research Magazine. It has been updated since then, most recently in June of 2021. The reality is…not much has changed. Misrepresentation claims are one of the most common claims […]

FINRA Office
Analysis Brokers Compliance

Forms in Need of Reform

Proposed NASD Rules Will Allow Allegations Against Brokers to be Made Public By Mark J. Astarita, Esq. Note: This column was originally published in 1997 in Research Magazine. Unfortunately, nothing changed, and in fact, the situation has gotte Some of you may recall my column from October 1996, “The seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

SEC
The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)

” >SEC’s […]