SEC has finally approved FINRA’s proposed “mid-case referral rule,” which FINRA had been seeking since 2010. Allowing securities arbitrators to voice serious concerns in the middle of a case about possible frauds that could harm investors is a procedure that …
The SEC has approved FINRA’s plan to overhaul how firms calculate the value of unlisted real estate investment trusts (“REITs”) and direct-participation programs (“DPPs”). Under the new rules — specifically NASD Rule 2340 and FINRA Rule 2310 — firms will …
The specific duties that a broker owes to his or her customer will depend on a number of different factors, including the specific terms of the account agreement signed by the customer, the nature of the brokerage account opened by …
When choosing an attorney to represent you in an investment dispute, it is important that you look for someone who is knowledgeable and experienced regarding the securities laws, who is responsive to your needs no matter what they are, and …
Arbitration is a private method of dispute resolution in which the parties select the individual or individuals who will finally decide the matters at issue following a process agreed upon by the parties. There are five main stages to the …
Myth No. 1: I can’t afford to file a securities arbitration — it is just too expensive. At Jacobson Law P.A., we take most of our cases on a contingency basis. That means that you won’t have to pay us …
Parties in disputes have several options to try to resolve their disagreements (short of resorting to fisticuffs). In broad terms, they can either file a lawsuit in court, or they can pursue an alternative dispute resolution (“ADR”) method such as …