The Law of the Financial Markets from Top Securities Lawyers
Wednesday, September 11, 2024
If selling broker is associated person, and claimant is his customer, BD compelled to arbitrate BMA Financial Services, Inc. v. Guin, 2001 U.S. Dist. LEXIS 18556 (W.D. La., 9/27/01): In the absence of a direct account relationship, a court will compel a firm to arbitration, if the selling broker is […]
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 […]
Customers who abuse the system, and harm their brokers. By Mark J. Astarita, Esq. These days, it seems that every major publication, and every television news show, has done, or is doing, a story on “rogue brokers” – brokers who care nothing about their customers, or their firms, or the […]
