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Kaufmann Gildin & Robbins LLP

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Elderly Customers in Arbitration Part 3

On behalf of Kaufmann Gildin & Robbins LLP | Apr 25, 2017 | FINRA Arbitration

State Laws Protecting Seniors In addition to the regulatory and procedural differences in affect when an elderly customer files a claim with FINRA Dispute Resolution, many states have enacted statutes specifically to protect seniors which apply in arbitration. State...

Elderly Customers in Arbitration Part 2

On behalf of Kaufmann Gildin & Robbins LLP | Apr 21, 2017 | FINRA Arbitration

The Defense Perspective Similar to the way procedural and regulatory differences affect how elderly customers can seek restitution through the FINRA arbitration program, cases involving elderly claimants present different challenges to defense counsel as well. An...

Elderly Customers in Arbitration Part 1

On behalf of Kaufmann Gildin & Robbins LLP | Apr 17, 2017 | FINRA Arbitration

For many years now, FINRA has sought to implement the central precept of arbitration as an expeditious alternative to litigation for the elderly. This blog, Part 1, will provide an overview of FINRA's pronouncements on the subject as well as initiatives adopted by the...

A New Era for Fiduciary Duty Part 1: Overview

On behalf of Kaufmann Gildin & Robbins LLP | Apr 11, 2016 | Fiduciary Duty, FINRA Arbitration

In the spring of 2016, the Department of Labor and the White House announced dramatic changes in the obligations of brokers in retirement accounts. A month before the April 2016 announcement, at SIFMA's 2016 Compliance & Legal Society Annual Seminar, the...

Does My Broker Owe Me a Fiduciary Duty?

On behalf of Kaufmann Gildin & Robbins LLP | May 8, 2015 | Fiduciary Duty, FINRA Arbitration

A fiduciary duty means that when a broker makes a recommendation to the customer, the broker's motivation must be in the customer's "best interest". For most brokers, that is their motivation. Where it is not, trouble can ensue. The extent to which such a duty...

Who is a Customer for Purposes of FINRA Arbitration?

On behalf of Kaufmann Gildin & Robbins LLP | Feb 9, 2015 | 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

On behalf of Kaufmann Gildin & Robbins LLP | Feb 2, 2015 | FINRA 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...

Do Statutes of Limitation Apply to FINRA Arbitrations?

On behalf of Kaufmann Gildin & Robbins LLP | Jan 26, 2015 | FINRA Arbitration

As attorneys who represent customers of brokerage firms, we often receive calls from potential clients who appear to have a substantive case of merit. And then we ask them when the investment was made and that often raises the question: Do statutes of limitation apply...

The securities Arbitration Procedure manual

David E. Robbins wrote the Securities Arbitration Procedure Manual used nationwide by law schools, law firms and brokerage firms.
>> More Information

Read about Mr. Robbins’ Commentaries to New York’s statute book

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Kaufmann Gildin & Robbins LLP is located in New York City, New York and handles cases related to securities arbitration and litigation. We serve clients nationally and internationally.

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