The Law of the Financial Markets from Top Securities Lawyers
Sunday, April 28, 2024
In the aftermath of the run-up in the price of Gamestop (GME) Robinhood removed GME from its trading platform. Yes, Robinhood simply removed a publicly traded security from its platform, preventing its users from buying, and presumably selling, the security. While Robinhood claims that it has the right to do […]
Mark J. Astarita is a nationally recognized securities lawyer who represents financial professionals and their firms in securities investigations, arbitrations, and litigation across the country. If you have a question relating to the securities laws, contact him at mja@sallahlaw.com or 212-509-6544. Securities law refers to the body of law that […]
There are thousands of complaints filed every year, and they fall into categories. UPDATED November 19, 2021. The trial of customer arbitration claims is a large part of my legal practice. I have been representing customers and brokers in securities arbitration matters since 1982. In those 35 years, I have […]
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Should you and the firm use the same lawyer? By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by a customer, and whose firm offers to provide an attorney to represent both the broker and the firm. The […]
Fraud In Execution of Arbitration Agreement is Defense to Confirmation of Award Even if the appellant did not move to vacate or object to the arbitration proceeding. Trading Direct v. LaRusso, 2002 Conn. Super. LEXIS 480 (Conn. Super., 2/7/02). Agreement to Arbitrate * Appealability * Award Challenge * Collateral Attack […]
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 […]
NASAA Opposes Account Transfer Interference Joins NASDR in supporting customer right to transfer account, regardless of broker/firm disputes By John M. Baker, Esq. [Ed. This post is from 2001 and is presented for historical purposes.] When registered representatives change their brokerage firms and try to take their customers with them, […]
