Tag: Securities Law


Fraud in Execution of Agreement is Defense in Arbitration

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 […]

Arbitration Brokers

Rogue Customers

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

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, […]