Commentary, news and links of interest to financial advisers.

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 […]


Employment Discrimination Claims

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 […]