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
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Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
Items discussed in this newsletter:
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.
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?
Securities Law Update – August 2007
Items discussed in this newsletter:
On April 5, 2007, an Omaha NASD arbitration panel issued an award in favor of an investor alleging claims involving concentrated positions in Level 3 Communications and WorldCom.