Newsletters

Securities Law Update – August 2012

Items discussed in this newsletter:

  • Attorney Not Liable for Sale of Unregistered Securities

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Securities Law Update – November 2011

Items discussed in this newsletter:

  • Statutes of Limitation Do Not Apply in Florida Arbitrations

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Securities Law Update – February 2011

Items discussed in this newsletter:

  • Third Party Subpoenas Severely Limited in Arbitration
  • Citigroup Arbitration Agreement Enforceable

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Securities Law Update – August 2009

Items discussed in this newsletter:

  • Trust Not Required to Arbitrate Against Merrill Lynch
  • AIG Name Change
  • Auction Rate Securities Class Action
  • Selling Away Cases – Insurer’s Duty to Defend
  • Punitive Damages Unavailable as a Matter of Law for a Pension Plan’s ERISA §409 Claims
  • Punitive Damages Unavailable as a Matter of Law for a Pension Plan’s ERISA §409 Claims

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Securities Law Update – May 2009

Items discussed in this newsletter:

  • Are Arbitration Clauses Within U-4 Agreements Unconscionable?
  • Impact of Granting Motion to Compel Arbitration
  • SEC Affirms FINRA Unsuitability Findings
  • Registered Representatives are Associated Persons of One Firm Only

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Securities Law Update – November 2008

Items discussed in this newsletter:

  • Arbitrability of Military Claims
  • Please Send Wall Street Back to Arbitration!!!
  • Statutes of Limitation Do Not Apply in Arbitration
  • What a Cheapskate!
  • Polygraphs

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Securities Law Update – October 2008

Items discussed in this newsletter:

  • Proceedings Ancillary to Arbitration
  • Think Twice Before Dismissing Your Arbitration
  • Never try a case against a 96 year old deaf and blind client
  • IRA Custodian’s Liability

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Securities Law Update – July 2008

Items discussed in this newsletter:

  • Unauthorized Practice of Law
  • NASD Arbitration Award Vacated
  • Unconscionability of Arbitration Clause
  • Martin Act
  • Where to Sue Your Lawyer?

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Securities Law Update – June 2008

Items discussed in this newsletter:

  • Hedge Fund Strategies
  • Legal Malpractice
  • Unregistered Investment Advisors\
  • U-5 Defamation Claims Not Dead
  • Pleading Common Law Fraud

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Securities Law Update – April 2008

Items discussed in this newsletter:

  • When Do Statutes of Limitation Apply In Arbitration?
  • Woe is Bear Stearns!
  • New U.S. Supreme Court Arbitration Decision
  • The Arbitrary Nature of Arbitration

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