Tag: Brokerage Firm

Arbitration Brokers

Brokers Can Win Promissory Note Cases

We all know that defending promissory note cases for brokers is difficult. After all, those notes have been written, revised, rehashed and reworked by brokerage firm attorneys for years.As I have noted in the past, and in my near daily telephone consultations with brokers with promissory note issues, this does […]

Securities, Lawyer, Attorney
Arbitration Brokers Investors

Typical Customer Arbitration Claims

There are thousands of arbitration claims filed every year, and they fall into categories. UPDATED June 2022 Introduction – Securities Arbitration Lawyer The trial of customer arbitration claims is a large part of my legal practice. I have been representing customers and brokers in securities arbitration matters since 1982. In […]


Financial Adviser Legal Information Center

Ed: This section of SECLaw.com brings together commentary, news and links of interest to financial advisers.  Featured Books Securities Litigation and Enforcement in a Nutshell – The 2nd edition of the Securities Litigation and Enforcement Nutshell focuses on an area of law that burgeoned nearly two decades ago after the […]

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 […]