Tag: Arbitration

Arbitration Hearing

What Happens at a FINRA Arbitration Hearing?

By Mark Astarita, Esq. Past columns have touched on the arbitration hearing itself and have raised the question just what happens during an arbitration hearing. It seems that there are a wide variety of ideas on just how those proceedings take place, and there is a substantial misconception regarding the […]

Arbitration Hearing
Arbitration Featured Articles

Customer Claims in Arbitration

I have been representing customers and brokers in securities arbitration matters since 1982. In those 35 years I have handled over 700 securities arbitration cases. Since securities arbitration is such a large part of my practice, I also survey all of the arbitration awards that are entered in matters across […]


Compulsory Arbitration Waivers

Not just for lawyers, the Securities Law Home Page has information for every participant in the financial markets, including attorneys, paralegals, investors, entreprenuers, finders and others regarding the law of the financial markets and investments, including arbitration, NASD, NYSE and seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”

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 rules and regulations, including those regarding


California Legislation on Arbitral Ethics

The California Assembly has passed a comprehensive legislative package that will overhaul the arbitration process, and maybe ruin it. Reinforcing the ethical standards that have been developed by the California Judicial Council (SAA 02-17) for full implementation on July 1, the California Assembly has passed in recent weeks a comprehensive […]

Analysis Arbitration

Compel Arbitration against independent contractor

Broker-dealer required to arbitrate in connection with dispute between associated person and his customer when the dispute arises from business of broker-dealer MONY Securities v. Bornstein, 2:02-cv-9-FTM-29DNF (M.D. Fla. 2/26/03). Arbitration Agreement * Selling Away * SRO Rules (NASD Rules 2520 & 10101). Broker-dealer is required to arbitrate in connection […]

Arbitration Case Law

Arbitration Agreements and Enforcement

To Compel Arbitration, Must Prove Knowing Acceptance of the Agreement This time, merely proving that the agreement was signed was not enough. Braga v. VMR Capital Markets, No. B144584 (Cal. App., 2Dist., 2/13/02). Arbitration Agreement * Contractual Issues (Mutual Assent) * Waiver * State Law, Applicability of * FAA (Section2). […]


Damage Control

IN 12 OR SO YEARS OF REPRESENTING securities professionals in arbitrations, I have heard a near-constant refrain from my clients and other members of the financial community: The arbitration process is not fair. The general complaints are that arbitrators are biased in favor of customers, particularly those who are sympathetic; […]