FINRA Incorporates New Special Proceeding Option for Small Claims Parties into its Operations
on

With the new Rule now in effect, we wanted to see how FINRA Dispute Resolution has gone about introducing Claimants to this new innovation and to view,

...Read More

Boilerplate Denials by Clients Fails to Get Broker Off the Hook in Raiding Case: E*TRADE Financial Corp. v. Pospisil
on

By James L. Komie

In a raiding case, boilerplate unsworn statements submitted by clients of a defendant broker stating that the defendant did not “solicit” during undocumented calls,

...Read More

Post Image
Award Challengers Scratch Record, Left Singing the Blues: Abbott v. RBC Dain Rauscher Inc.
on

By James L. Komie

A court cannot review an arbitration Award where the party challenging the Award has not provided a sufficient record on appeal,

...Read More

Post Image
Madoff’s Felonious Folks Fail to Flip Fraud Convictions: USA v. Bonventre
on

By Pete S. Michaels

*A sufficient basis exists for a conscious avoidance instruction in a criminal trial for securities fraud where the evidence would permit a rational juror to conclude beyond a reasonable doubt that the defendant was aware of a high probability of the fact in dispute and consciously avoided confirming that fact.

...Read More

Post Image
NFA Panel Short-Changes Defense, Court Rules in Decision to Vacate: ICAP Corporates, LLC v. Drennan
on

By David C. Franceski, Jr.

An arbitration panel engages in misconduct, justifying vacatur of an Award in the claimant’s favor,

...Read More

Post Image
How to Prove an Arbitration Agreement While Drawing a Blank: Patterson v. Ladenburg Thalmann & Co., Inc.
on

By David C. Franceski, Jr.

With a proper foundation, a party to an arbitration agreement does not need to retain and produce the complete original of the agreement,

...Read More

Read Our Recent Blog