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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Bailey vs. Chase Securities, Inc., et al, 01-Civ-7222 (AGS), 2002 U.S. Dist. LEXIS 7788 (SDNY 5/1/02) Employment Discrimination * ADEA * SRO Rules (NASD Rule 10201) * Consolidation Issues […]
New Mechanism for Resolution of Raiding Disputes Approved Rule 10335 makes permanent, with some significant modifications, a formal mechanism for the resolution of raiding disputes, under a NASD Rule approved […]
Stay of Non-Arbitrable Claims is Discretionary Where Arbitrable Claims Exist Baggesen vs. American Skandia Life Assurance Corp. Baggesen v. American Skandia Life Assurance Corp. & Securities America, Inc., 2002 U.S. […]
State Laws Aimed At Arbitration Contracts Preempted BRADLEY v.HARRIS RESEARCH, INC., No. 00-16021 (9th Cir., 12/28/01): Chem-Dry is a well-known provider of carpet cleaning services and HRI is a […]
Customer Not Beneficiary of Clearing Agreement Hossain vs. Rauscher Pierce Refsnes Hossain v. Rauscher Pierce Refsnes, Inc., Case No. 97-1380 (D. Kan., 5/15/00): A customer of an introducing broker is […]