The Law of the Financial Markets from Top Securities Lawyers
Saturday, April 20, 2024
Your employment agreement is important, you will be held to its terms. And it is negotiable! Plus, with proper planning, and following the Protocol, you can avoid all of this litigation. Call us first! Securities Lawyer-212.509.6544 – Nationwide Representation of Securities Professionals J.P. Morgan Securities (JPMorgan) is seeking a temporary […]
A former star broker for UBS Financial Services Inc. who was repeatedly called a “bitch” by her boss won a $1.6 million discrimination arbitration award last month. According to InvestmentNews.com, the broker, Chrisine Carona, worked for UBS in Boston from March 2009 through July 2017 and currently is employed by Morgan Stanley. She was […]
For many years, all claims that a registered representative had against a broker/dealer was subject to mandatory arbitration, by virtue of the representative’s association with the National Association of Securities Dealers, Inc. However, on January 1, 1999, the NASD changed the Rule 10201 (Required Submission), relating to the arbitration of […]
Supreme Court and Arbitration – 2002 SUPREME COURT & ARBITRATION: The U.S. Supreme Court heard argument in the Circuit City v. Adams case on Monday, concerning Section 1’s “contract of employment” exclusion. The Ninth Circuit gave a broad reading to the exclusionary provision in the decision below, holding that […]
