Tag: Customer Arbitration Claims

Arbitration Brokers Compliance

Suitability – Brokers Have to be Their Own Judge

By Mark J. Astarita, Esq. seclaw.com/glossary/suitability/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>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 in securities that are “suitable” for them. This oversimplification worries many brokers who, armed with this definition, often lament that […]

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 […]