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Investment Advisor November 2007 Thomas D. Giachetti	Confusion and Misinformation Experience has shown us that the presence of hedge clauses will not guarantee that a client will not bring a cause of action against the advisor. When it comes to hedge clauses, specificity is the order of the day.
Investment Advisor September 2009 Thomas D. Giachetti	Expert's Corner: It Beats Getting Sued What every investment advisor should know about securities arbitration.
Financial Advisor May 2011 Daniel Bernstein	The Goldilocks Dilemma The greatest problem with client agreements today is the shortcut approach too many advisors take.
Investment Advisor February 2008 Thomas D. Giachetti	Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.
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?
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.
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.
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.
Investment Advisor November 2006 Thomas D. Giachetti	Defining Fiduciary What is a financial advisor's true fiduciary duty?
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?
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.
On Wall Street June 1, 2010 Mark Astarita	Tilting the Litigation Landscape Against the Financial Industry Current reform proposals could radically alter the broker-client relationship.
On Wall Street October 1, 2013	Five Questions with A. Heath Abshure A. Heath Abshure, the outgoing president of the North American Securities Administrators Association discusses his tenure.
Commercial Investment Real Estate Mar/Apr 2004 John A. Sherrill	Legal Briefs Commercial real estate companies are turning to alternative dispute resolution to solve disagreements with partners, suppliers, customers, and other professionals with whom they have contractual relationships.
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.
Financial Planning November 1, 2009 Robert Pozen	Think Twice Congress is seriously debating legislation that would significantly expand the coverage of the Investment Advisers Act, empower the SEC to make rules on advisor compensation and increase the likelihood of lawsuits against advisors.
Financial Advisor November 2009 Jeff Schlegel	The Great Debate Financial services reform is coming. How will it impact advisors?
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.
On Wall Street February 1, 2011 Alan J. Foxman	Reading The Fine Print Advisors write in for legal advice regarding contracts, client lawsuits, non-compete agreements and other concerns.
Entrepreneur August 2007 Laurel Delaney	Finding a Middle Ground with Overseas Buyers Arbitration can settle cross-border disputes.
On Wall Street June 1, 2011 Alan J. Foxman	Arbitration Station Advisor Q&As: Promissory notes... Do tax liens need to be reported on Form ADV?
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.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Entrepreneur December 2005 Chris Penttila	Bound & Gagged How will the battle over mandatory binding arbitration affect entrepreneurs?
Registered Rep. September 14, 2011 Andrew J. Haigney	Opinion: FINRA's Land Grab Provisions of the Dodd-Frank Act are effectively forcing brokerage firms to convert their retail operations to the investment advisory model. But brokers need not worry, it looks like "the fix is in."
Registered Rep. August 1, 2006 Gary Weiss	Institutionalized Unfairness Here the author of Wall Street Versus America discusses how the mandatory arbitration of customer disputes must be made to go away. And not just because it hurts financial advisory customers. It hurts the financial advisor equally.
Investment Advisor July 2007 Melanie Waddell	Protect Yourself It's an annoying but necessary task: here's the latest intelligence on how to guard your financial practice from both the regulators and your clients.
Investment Advisor July 2010 Melanie Waddell	A Whirlwind of SEC Activity Harmonization of advisor and B/D rules will move forward.
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.
Investment Advisor June 2009 Thomas D. Giachetti	Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
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.
Registered Rep. July 8, 2015 Jerry Gleeson	The New Sheriffs In 2012, more than 2,000 RIA firms who had only known the regulatory scrutiny of the Securities and Exchange Commission were transitioned over to the Wild West of state securities regulators.
Registered Rep. June 15, 2010 Kristen French	NASAA Says Reg-D Is Second Biggest Investor Protection Concern NASAA President Denise Voigt Crawford outlined the biggest investor protection provisions in Wall Street reform legislation that are supported by the organization.
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?
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.
Investment Advisor October 2010 Melanie Waddell	Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective.
On Wall Street November 1, 2010 Alan J. Foxman	Crime Versus Punishment Members of the financial services industry write in for advice and have their legal questions answered.
On Wall Street September 1, 2010 Alan J. Foxman	Ponzi Schemes And Problems Paying Fines Q&A: What does it mean for advisors that records are now available to the general public online?... How will arbitration payments I must make but cannot afford right now affect my license?... more...
Investment Advisor February 2009 Melanie Waddell	Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization.
Registered Rep. April 1, 2007	Turf Wars Over Advice The age-old debate between the b/d and investment advisor (RIA) industries over who should be able to provide advice and when, and whose regulatory regime offers better investor protections, is far from over.
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?
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.
Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
Investment Advisor July 2006 Thomas D. Giachetti, esq.	Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.
Investment Advisor March 2006 Melanie Waddell	Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away.
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.
Investment Advisor May 2010 David Tittsworth	What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association.
Investment Advisor January 1, 2011 Melanie Waddell	FINRA Jockeys for SRO Spot as SEC Report to Congress Nears The Financial Industry Regulatory Authority is engaged in a full-court press to convince the SEC that it should be the SRO for 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.