The Art of Advocacy and Arbitration in High-Stakes Financial Disputes With Erwin J. Shustak
Managing Partner, Erwin J. Shustak, recently sat down with Chad Franzen of the Rise25.com Podcast to discuss how Erwin decided,…
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NDAA Codifies Equitable Remedies and Expands Disgorgement Statute of Limitations
On January 1, 2021, Congress passed H.R. 6395 National Defense Authorization Act for Fiscal Year 2021 (NDAA). While the act…
Read MoreNew York Anti-SLAPP Rules Strengthened
New York State passed new anti-SLAPP laws on November 10, 2020. The term “SLAPP” is an acronym that stands for…
Read MoreMandatory FINRA Arbitration Is Under Attack Again
Mandatory pre-dispute arbitration agreements ("PDAA's") have long been under fire but now face potential extinction. Congress’s latest attempt to eliminate…
Read MoreUS Supreme Court Rules It Is Illegal To Fire Employees For Being Gay Or Transgender
Earlier this month, the United States Supreme Court ruled in Bostock v. Clayton County, Georgia that it is illegal for…
Read MoreFINRA Panel Denies J.P. Morgan Request for Injunction
A FINRA arbitration panel has denied J.P. Morgan Securities’ request for a permanent injunction preventing its former broker, Eric Weiss,…
Read MoreFINRA Panel Upends TRO Against Former Broker
Last week, a FINRA arbitration panel took the extraordinary step of ordering the parties to an arbitration to request dissolution…
Read MoreJ.P. Morgan, Schwab Pursue Claims Against Departed Advisors
Another week, and two more temporary restraining orders have been sought against advisors departing J.P. Morgan Securities and Charles Schwab.…
Read MoreSecurities America Faces $18 Million Lawsuit Following Former Advisor’s Cop to Ponzi Scheme
In late February 2019, former music industry executive Robert Jamieson and his family sued their former broker, Hector A. May,…
Read MoreMANDATORY FINRA ARBITRATION- IS THE END IN SIGHT?
In the seminal, 1987 decision of Shearson v. McMahon, the U.S. Supreme Court decided that pre-dispute agreements to arbitrate securities…
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