Tag: Arbitration

Brokers

NASD Expungement Proposal Tramples Brokers Rights

NASDR Proposal Contains Provisions to Continue Ignoring the Awards of Its Own Arbitrators, and to Fine Brokers Who Attempt to Obtain Relief From the Courts. By Mark J. Astarita, Esq. The problems associated with the NASD’s CRD Disclosure System are well known to visitors to SECLaw.com, as we have written […]

Tips for a successful securities mediation
Arbitration

A Look Inside a Securities Arbitration Hearing 2023

 Just What Happens at an Arbitration? By Mark J. Astarita, Esq. Past columns have touched on arbitration hearings, and have raised the question of just what happens during an arbitration hearing. There is apparently significant misconceptions about the hearing process. Hopefully I can clear some of this up, and provide […]

securities defense lawyers
Analysis Arbitration Brokers

Settling the Matter

More brokers and firms are being forced to settle customer claims, particularly where the claim is less than the total arbitration expense. Settling the Matter By Mark J. Astarita, Esq. In June, we addressed how to avoid customer disputes. This month, we jump ahead to how to resolve them, either […]

Arbitration Information Center

Securities Arbitration Information Center

Featured Articles Introduction to Securities Arbitration – The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process. Featured Books Securities Regulation in a Nutshell – This […]