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Entrepreneur August 2007 Laurel Delaney |
Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.  |
Job Journal December 7, 2003 Michael Kinsman |
The Arbitration Option More and more workplace disputes are going to arbitration.  |
Commercial Investment Real Estate Nov/Dec 2011 Thomas E. Gibbs |
Avoidance Behavior Learn to resolve disputes before they occur. Mediation, arbitration, and other forms of alternative dispute resolution have become a favorable choice in today's commercial real estate market.  |
Registered Rep. May 1, 2006 French & Palmer |
The Argument Over Arbitration While investment-related arbitrations are supposed to be cheaper and more expeditious than trials in civil court, many say that these advantages have diminished in recent years, and that all too often the proceedings just look like outtakes from The Gong Show. Is there a better way?  |
Entrepreneur January 2004 Marc Diener |
Making Peace If you haven't yet considered mediation as a way to resolve business disputes, here's why you should.  |
The Motley Fool October 19, 2006 S.J. Caplan |
When Brokers Break the Rules Investors do have some recourse if they feel they've been duped, and that recourse is on sale this month.  |
Commercial Investment Real Estate Jul/Aug 2009 Rich Rosfelder |
Mediation Basics A slow real estate market is fertile ground for contract disputes. Certified commercial investment members (CCIMs) need to recognize alternative conflict resolutions mechanisms to arbitration.  |
Registered Rep. March 1, 2007 Karen Donovan |
Arbitration Tweaks The SEC recently tried to help improve the arbitration system by offering a new code of procedures for picking arbitrators. But as arbitration lawyers have found there was not much to get excited about.  |
Inc. June 2005 Dimitra Kessenides |
Can't We All Get Along? As litigation costs rise, more businesses turn to arbitration.  |
Investment Advisor September 2009 Thomas D. Giachetti |
Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration.  |
On Wall Street March 1, 2011 Lorie Konish |
All-Public Panels Approved For Arbitrations The move may be hailed by investor groups, but other industry experts are criticizing the Securities and Exchange Commission's recent approval of a rule change that allows for the option of all-public panels in FINRA arbitrations.  |
The Motley Fool October 5, 2007 Selena Maranjian |
Credit Card Fine Print Can Cost You Be careful, or you may end up ensnared by credit card arbitration. A recent study in California showed in 95% of these arbitration cases, the consumer lost. What can you do about this?  |
Managed Care June 2002 Bob Carlson |
First Business, Now Health Care: Signing Away One's Right To Sue More and more, mandatory arbitration clauses are surfacing in agreements between businesses and individuals. Will the line be drawn at managed care?  |
Entrepreneur October 2003 Jane Easter Bahls |
Ties That Bind Are you within your rights to require employees to sign a binding arbitration agreement?  |
Investment Advisor December 2007 Thomas D. Giachetti |
Use Them, but Carefully By all means, place arbitration clauses in IA contracts, but do it right.  |
Entrepreneur December 2005 Chris Penttila |
Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?  |
Registered Rep. November 1, 2002 Carol X. Vinzant |
Law & Order: Client-Broker Disputes The last couple of years have been hell on anyone who owns stock. And someone must pay. Rightly or wrongly, that person typically is the broker.  |
Registered Rep. January 1, 2007 Karen Donovan |
Fix Arbitration Now Here are three problems that lawyers who struggle with the securities industry's arbitration system say they confront on a routine basis. For the most part, the lawyers for customers and those who represent the industry have radically different views on how to fix the system.  |
PHONE+ July 29, 2009 Ross Buntrock |
Bulletproofing Your Business While it's impossible to eliminate all risks associated with signing a telecommunications agreement, agents can shield their businesses from some common risks and take a few bullets out of the other guy's gun.  |
On Wall Street September 1, 2008 Alan J Foxman |
Court or Arbitration Sexual harassment claims can go to court under FINRA's rules, but some employment contracts call for arbitration... If I leave my firm can they get an injunction preventing me from taking my clients? Can this go to arbitration?  |
On Wall Street August 1, 2009 Helen Kearney |
Death Knell for Mandatory Arbitration The meltdown on Wall Street, along with the raft of Ponzi schemes, have created a renewed regulatory zeal on the part of the government towards financial advisors. This all begs a major question: Is this the end of mandatory arbitration?  |
Inc. February 2004 Lora Kolodny |
A Win for Arbitration, But Do You Ultimately Lose? Surprising news about arbitration. Is arbitration better and cheaper than litigation?  |
Registered Rep. January 25, 2007 Karen Donovan |
SEC Finally Approves Overhaul of Arbitration Code: Some Lawyers Are Underwhelmed The new SEC code will bring one big change: It alters the crazy-quilt method by which the opposing sides select the three arbitrators who will serve on the hearing panel that hears a customer's dispute against a brokerage firm.  |
On Wall Street August 1, 2010 Alan J. Foxman |
Getting A Good Arbitrator How FINRA selects arbitrators... Arbitrators don't need intimate knowledge of the brokerage industry...  |
Inc. April 1, 2004 |
Ted's Wild U-Turn Ted Turner comes home... Tricky definitions... Yet another reason to charge more...  |
Registered Rep. April 1, 2005 Richard A. Roth |
Keep It Dark Though one function of the NASD is to police its member firms and protect investors, another of its functions is to provide a fair and just arbitration forum for dispute resolution. The NASD should protect the sanctity of the process by ensuring that all parties are treated equally and fairly.  |
Registered Rep. January 8, 2009 |
Motion To Dismiss In Arbitration? Not So Fast. Firms and advisors facing disputes in arbitration will have a tougher time getting the case dismissed thanks to a new dispute resolution rule, FINRA announced today.  |
Commercial Investment Real Estate May/Jun 2006 Natsis & McFadden |
A Wise Compromise Detailed analyses of lease renewal terms help establish fair-market rent.  |
On Wall Street October 1, 2009 Judith Schoolman |
Five Questions with Brian Smiley Brian Smiley is president of the PIABA, which promotes the interests of investors involved in arbitration disputes against brokerage firms. In this short interview he speaks about his group's goals and why he's been so busy.  |
Registered Rep. August 9, 2006 Kristen French |
NYSE Reg to Streamline Arbitration: Proposes One Arbitrator for Cases Under $200,000 The arbitration system has been under fire lately for being costly, slow and skewed in favor of the industry. This new proposal will help to alleviate those concerns.  |
On Wall Street September 1, 2010 Mark Astarita |
Denying Advisors A Legal Forum As part of the Dodd-Frank Wall Street Reform Act, Congress has given the SEC the authority to prohibit or impose conditions upon the use of pre-dispute arbitration agreements by brokerage firms and federally registered investment advisors.  |
BusinessWeek August 13, 2007 Lewis Braham |
Want To Take On Your Broker? Investors' odds have shrunk in recent years. Even if you win, don't expect a windfall.  |
Entrepreneur January 2007 Marc Diener |
Put it in Neutral In the ordinary course of business, a lawsuit is the course of last resort. Litigation is expensive, time-consuming, mean-spirited and often unfair. Mediation offers a better way.  |
Commercial Investment Real Estate Jul/Aug 2009 |
American Mediator This CCIM negotiates the contract-dispute obstacle course.  |
Registered Rep. August 16, 2006 Karen Donovan |
Put It in Writing: Investors Want Arbitrators to Explain Their Awards Lawyers who represent investors in securities arbitrations hope that a proposed NASD rule -- which would give them the option of demanding written explanations from arbitration panels that hear their disputes against brokerage houses -- will take effect soon.  |
Registered Rep. July 27, 2005 Kristen French |
NASD Sanitizes Arbitration Panel: Public Arbitrators Must Be Public Securities arbitration panels, which resolve the vast majority of investment disputes between clients and brokers, are typically made up of two public arbitrators and one industry arbitrator, a system that is intended to tip the scales in favor of the public.  |
Registered Rep. December 18, 2002 Rick Weinberg |
Supreme Court Favors Arbitration in Brokerage Cases The Supreme Court has reaffirmed its stance that the arbitration forum is the proper venue for deciding brokerage cases.  |
ifeminists September 21, 2005 Wendy McElroy |
Faith Based Initiative Stirs Debate Even semi-private arrangements on family matters threaten the laws and policies through which gender feminists promote their vision of equality and social justice. It is not a vision that welcomes competing systems or the choices of dissenting individuals.  |
On Wall Street October 1, 2008 Elizabeth Wine |
Jury of Their Peers Under a new arbitration program, investors will be able to choose to air complaints to a panel of regular people, without the token industry insider. So why are both sides of this issue unhappy with the plan?  |
Registered Rep. October 24, 2007 Karen Donovan |
Arbitration Works, Says SIFMA; No It Doesn't, Says PIABA The Securities Industry and Financial Markets Association released a "white paper" today about how well the mandatory arbitration system works. SIFMA is trying to steal the thunder of the plaintiffs' bar, which is pushing Congress to nullify agreements to arbitrate in customer contracts.  |
Registered Rep. September 10, 2002 Rick Weinberg |
Pitt Tells NASD, NYSE to Hear California Arbitration Cases Pitt told the exchanges in a letter dated Sept. 5 that they have to "immediately" provide California investors access to arbitration panels in the state or some other forum to dispute claims.  |
National Defense October 2010 McGrath & Stapleton |
New Amendment To Change Employee Litigation Rules The Franken Amendment bars defense contractors and subcontractors from requiring employees, as a condition of employment, to agree to mandatory arbitration of discrimination claims under Title VII of the Civil Rights Act of 1964, based on race, color, religion, sex or national origin.  |
The Motley Fool October 24, 2007 Selena Maranjian |
Mandatory Arbitration Stinks Read the fine print. The people who decide how to resolve your disputes with your homebuilder might not be so impartial.  |
Commercial Investment Real Estate Mar/Apr 2007 Korda & Chan |
Construction Plans Sponsors and owners considering financing the construction of commercial real estate projects need to know how lenders evaluate a project's overall risk. Such understanding increases the likelihood that a developer's application for financing will be approved.  |
Registered Rep. August 1, 2006 |
Unbreakable Promises Q: Isn't it standard in the industry to prorate notes over the entire period employed? Do we have any recourse?... A: It's way too late in the game for you to be wondering about how proration of promissory notes works in the industry... etc.  |
BusinessWeek June 22, 2011 Greg Stohr |
Wal-Mart Case: Another Loss for Trial Lawyers The Supreme Court's ruling is the latest in a series of decisions that make it clear the justices aim to curb mass litigation.  |
On Wall Street December 1, 2010 Alan J. Foxman |
When FINRA Intervenes Even non-member firms (such as registered investment advisors) can voluntarily agree to use either FINRA's arbitration or mediation services.  |
Registered Rep. September 1, 2005 Greg Bailey |
The Real Arbitration Nightmare NASD member firms frequently wield far too much influence in arbitration proceedings, and this situation could end up undermining client confidence in the industry if it persists.  |
AskMen.com October 15, 2000 Luis Rodrigues |
Divorce Planning: Limit The Financial Sting It is never easy for a man to deal with a failed marriage. It is a time where emotions run very high while important financial decisions need to be made: a lethal combination...  |
On Wall Street November 1, 2009 Thomas Lewis |
It's Payback Time on Promissory Notes Firms have been fighting back against defecting advisors. Increasingly one of the most effective weapons in their arsenal is the enforcement of promissory notes.  |