Tag: FINRA Arbitration

securities arbitration
Arbitration Primer

What is Securities Arbitration?

Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s,  FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]

Arbitration Hearing
Arbitration Brokers Compliance Corp Finance Enforcement Investors Private Placements Public Offerings

What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com Securities law is a specialized field of law encompassing various types of securities lawyers. Transactional securities lawyers […]

FINRA Brokercheck
Arbitration Investors Primer

What is FINRA

FINRA, the Financial Industry Regulatory Association, is the successor to the National Association of Securities Dealers and is authorized by Congress to regulate and oversee the broker-dealer industry, insuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the country—and analyzes […]

Arbitration

Securities Arbitration

Guide To Securities Arbitration When you finish reviewing the sites of “consultants” who want to help you sue your broker, visit the real securities law site – The Securities Law Home Page. Written, maintained, and supervised by a Wall Street securities attorney, you will get straight information on the law […]