The SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. WHILE BROKERS OFTEN BECOME upset or even angry when they are named in customer arbitration, nothing strikes fear in the hearts of licensed individuals as much as receiving an SEC subpoena or a […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
Arbitral Supoena Power Does Not Provide for Pre-Hearing Production by Non-Parties Hay Group, Inc. vs. EBS Acquisition Corp., Third Circuit HAY GROUP, INC. v. E.B.S. ACQUISITION CORP., No. 03-1161/1162 (3rd Cir., 3/12/04). In arbitrations subject to the Federal Arbitration Act, arbitral subpoena power does not extend to requiring pre-hearing production […]