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• International Investors’ Rights and Remedies ( April 2006 )
  

  The globalization of markets, the internationalization, merger and consolidation of major investment firms, the joinder of commercial and investment banking and the interest of international public investors in utilizing the services of reputable, brand-name brokers, has contributed to a concomitant increase in customer claims filed in arbitration by both domestic and international investors. [FN1] Yet, in practice, very few defrauded international investors who do business with United States securities and commodity futures firms through branch offices based both outside of and within the U.S., appear to be aware of their rights and remedies.

• Arbitration Showdown ( July 2003 )
  

  Financial planners may have to defend themselves against a whole range of client claims. However, all disputes originate from one or more of five key failings: failure to know and understand the client, failure to make full and timely disclosure of material information, failure to make a contemporaneous record of events, failure to supervise staff adequately, and failure to anticipate problems. Advisers who grasp these implications will spend more time working with satisfied clients and less time involved in expensive arbitration proceedings.

• The Application Of Business & Professions Code §17200 To Securities Transactions --Will Bowen v. Ziasun Technologies Survive? ( June 2004 )
  

  The California Court of Appeal decision in <i>Bowen v. Ziasun Technologies, Inc.</i> imposed a significant new limitation on the scope of California Business and Professions Code §17200, holding that the statute does not apply to "securities transactions." The <i>Bowen</i> opinion purported to be a case of first impression, however it was handed down in the wake of a large body of cases from other states addressing whether their own unfair competition laws apply to securities claims, and a number of federal cases discussing the overlap between 17200 and the federal securities laws. Far from being the last word, <i>Bowen</i> reflects a split of authority on the application of 17200 to securities transactions. This article will briefly review the reasoning of the <i>Bowen</i> opinion and attempt to identify the arguments future courts and litigants may rely on to support or oppose the application of 17200 to securities transactions.

• Securities: Other Things You Should Know ( July 2000 )
  

  1. Statutes of Limitations. Don't delay. A statute of limitations is the time period in which you must b.

• What is and what to expect in Securities Arbitration ( July 2000 )
  

  Arbitration of securities disputes has been in effect for many years, but it didn't take off until 1987, when.

• Despite Strong Federal Policy in Favor, EEOC Takes Substantial Steps Against Arbitration of Federal Discrimination Claims ( March 2000 )
  

  This article summarizes the conflict with current EEOC and Federal policy in which the EEOC is taking substantial steps away from allowing employers to require mandatory arbitration for discrimination claims.

• Invest Wisely: Advice From Your Securities Industry Regulators ( December 1997 )
  

  Publication from the Securities and Exchange Commission which provides basic information to help investors select a brokerage firm and sales representative, make an initial investment decision, monitor an investment and address an investment problem.