Securities arbitration differs greatly from a typical civil court action. Recognizing these differences when presenting your case can be the difference between a monetary Award and having your case dismissed. Unlike court, where your target audience is a jury of...
Was My Broker’s Recommendation Suitable for Me?
You get a call from your stockbroker saying he's found an incredible buying opportunity for you - an undervalued penny stock, a private placement, a non-public REIT or the like. After giving you some more details on why he recommends adding this new investment to your...
Who is a Customer for Purposes of FINRA Arbitration?
You've been swindled by your broker and learn that, not surprisingly, his firm knew nothing about it. Worse yet, you learn that he never actually opened an account for you - "investing" your money in a Ponzi scheme, a phony-baloney high interest promissory note or a...
Rules of Evidence in Arbitration
While it is well known that the rules of evidence do not apply in FINRA arbitrations, most panel Chairs and arbitrators in general are attorneys and will often find it hard to discard those rules completely. There are certain circumstances where the rules of evidence...