Tag: Arbitration

Arbitration

Arbitrator Refusal to Hear Evidence

Refusal to Hear Evidence is Misconduct Only if Prejudice to Fair Hearing Results Woodley vs. Auerbach, Pollack & Richardson, Inc., Case NO 01-8489-CIV (SD Fla. 11-14/01) Woodley v. Auerbach, Pollak & Richardson, Inc., Case No. 01-8489-CIV-Middlebrooks (S.D. Fla., 11/14/01): An Arbitrator’s refusal to hear “pertinent and material” evidence constitutes misconduct […]

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 […]

Arbitration

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 SEC rules and regulations, including those regarding churning, over trading, suitability, fraud, misprepresentation, and markups as well as corporate finance, IPOs, direct public offerings, securities law, securities regulation, commodities and related topics. Sponsored by Mark Astarita, Esq., a New York City securities attorney.

Arbitration

NASD Defunct Firm Proposal

  The Securities and Exchange Commission has invited public comment on a rule proposal from NASD Dispute Resolution that would institute default arbitration procedures for non-responding defunct firms and terminated personnel. When the General Accounting Office disclosed in June 2000 (SAA 00-26) that many winning Claimants in arbitration do not […]

Arbitration

NASD Rule Change on Replacement Arbitrators

 NASD Rule Change on REplacement Arbitrators  Vacancies to be filled immediately, without a request from the parties. NASD RULE CHANGE ON REPLACEMENT ARBITRATORS Under a Rule proposal filed with the SEC last week, vacancies on Panels will be filled right away, without waiting for the parties to request a replacement […]