Category Archives: Newsletters

Items discussed in this newsletter:

• Attorney Not Liable for Sale of Unregistered Securities

Items discussed in this newsletter:

• Statutes of Limitation Do Not Apply in Florida Arbitrations

Items discussed in this newsletter:

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

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

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

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

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

Items discussed in this newsletter:

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

Items discussed in this newsletter:

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

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