Resources

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

Read Newsletter

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

Read Newsletter

Finding a New Financial Advisor

Has your Financial Advisor ever filed for bankruptcy?
Does your Financial Advisor have a criminal record?
How many clients have filed complaints against your Financial Advisor?
How many clients have successfully sued your Financial Advisor?
How much money has been paid in settlements as a result of claims filed against your Financial Advisor?

Read Full Article »

Securities Law Update – March 2008

Items discussed in this newsletter:

  • FUTURES 101
  • THE OSCAR FOR CHUTZPAH GOES TO….
  • CHAPTER 517 EXEMPT TRANSACTIONS
  • FINRA ACTION DISMISSED BY NY COURT OF APPEALS
  • WORLDCOM ARBITRATION AWARD REMANDED TO ARBITRATORS

Read Newsletter

Securities Law Update – February 2008

Items discussed in this newsletter:

  • CIVIL LIABILITY FOR INSIDER TRADING
  • WHAT IS A GROSS DEFERRED COMMISSION?
  • BROKERAGE FIRM EMPLOYEE ENTITLED TO REIMBURSEMENT FOR EXPENSES
  • SALE OF LOTTERY RIGHTS – CAPITAL GAINS OR ORDINARY INCOME?

Read Newsletter

Securities Law Update – December 2007

Items discussed in this newsletter:

  • Scope of General Release Language
  • Exclusion of Evidence Regarding Negotiation of U-5 Language Affirmed
  • Should Stockbrokers be Permitted to Rewrite History?

Read Newsletter

Securities Law Update – November 2007

Items discussed in this newsletter:

  • USING EXPERT WITNESSES TO PROVE TRUST DEPARTMENT MISCONDUCT
  • HEDGE FUNDS – EVEN INVESTORS WHO GOT OUT EARLY END UP UNHAPPY
  • ARBITRATION AGREEMENT NOT ENFORCEABLE AGAINST CO-EMPLOYEE
  • CONTRACTUALLY SHORTENED STATUTE OF LIMITATION ENFORCEABLE

Read Newsletter

Securities Law Update – October 2007

Items discussed in this newsletter:

  • WHEN DO STATUTES OF LIMITATION APPLY IN ARBITRATION?
  • MORE ON STATUTES OF LIMITATION IN ARBITRATION
  • HIGH-LOW AGREEMENTS AND ETHICS
  • WHISTLEBLOWING AND PROMISSORY ESTOPPEL

Read Newsletter

When Do Statutes of Limitations Apply in Arbitration? – The Florida Bar Journal

Construction contracts, attorney-client fee agreements, employment agreements, and stock brokerage agreements are examples of contracts that frequently contain arbitration clauses. Some of these contracts are negotiated at arm’s length. Others are not. Typically, the arbitration clauses within the contracts identify the forum in which future disputes will be resolved.

Read Full Article »

Rogue Stockbrokers and the Duty to Warn – ActionLine Published by the Florida Bar

Does an attorney have liability for the negligent referral of a client to a “rogue stockbroker”? If an attorney chooses to refer a client to a stockbroker, what are the best practices prior to making the referral?

Read Full Article (PDF)

← Older posts

Newer posts →