Investors

Brokers Investors

Suitability and Whisper Numbers under Attack

New Proposals for a New Millennium – seclaw.com/glossary/suitability/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Suitability and Whisper Numbers  Mark J. Astarita The end of the millennium has further demonstrated the changes that are in store for the brokerage industry in the start of the new millennium. Last month I took a look forward, but since writing that […]

broker defamation
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 […]