Tag Archives: Boca Raton Securities Fraud Attorneys
The Difficulty of Getting Around Arbitration Clauses
Disputes between a broker and investor—like many other disputes in the commercial and financial world—are often resolved through arbitration. Arbitration, which is a court-free, less formal proceeding resolved by a neutral third party, is commonly required by agreements signed at the outset of the broker/investor relationship (and most commonly carried out by FINRA, the… Read More »
New Rule Limits Self-Trading
Algorithmic trading—highly technical and advanced computerized financial trading of large amounts of securities—is here to stay. What began as a tool for institutional investors has exploded in popularity in recent years. According to a 2011 report from New York University, between 3,000 and 15,000 of these computerized orders are processed every day, totalling about 30… Read More »
