Investor Arbitration

Recent stock market turbulence has caused great concern for all investors and significant losses for many. Just as a rising tide lifts all boats, a declining market reveals investment mistakes and inappropriate investments.

There is no doubt that the nation’s 600,000 registered representatives are hardworking and honest professionals, but there are always a few bad apples in any basket, and we know that everyone makes mistakes.

While we all understand this, it does not mean that the investor should be the one paying for the mistake. However, recovery of those losses is not a simple process, and requires the assistance of an experienced securities attorney.

Mark has represented investors and market professionals in over 750 securities disputes and regulatory investigations. He has tried virtually every type of securities case, and is the author of Introduction to Securities Arbitration, a Securities Lawyer Guide, which has been downloaded tens of thousands of times. Mark is also the Editor of The Securities Law Home Page, an online guide to the law of the financial markets, wrote a monthly column for Research Magazine for years, and is a frequent securities law speaker and panelist.

If you have suffered losses in the market, regardless of who you believe is at fault, contact Mark’s office at 212-509-6544 or by email at Mark or one of his staff will review your situation, on the phone, and then if appropriate, review your statements and documents, all at no cost to you. If you have a valid claim, Mark and his team will represent you in obtaining compensation, either by litigation, arbitration or a settlement.

Call today, there is simply no reason not to do so. 212-509-6544.

Mark’s Related Articles and Commentary:

Overview of the Federal Securities Laws
An introduction to the laws which govern the purchase and sale of securities in the United States, including the Securities Act of 1933 and the Securities Exchange Act of 1934
Read Article

Tips for Responding to an SEC Subpoena.
Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is true whether you are a market professional, the CEO of a regulated entity, or an investor. That investigation can have a serious effect on your business, or your career and has the risk of consuming a significant amount of time, and money, even if you have engaged in any wrongful conduct. How you respond to the initial inquiry, and how you manage the events as the investigation continues often determines the outcome of that investigation. Read Article.

Parking Stock Is Illegal
It seems that every once in a while securities professionals need to be reminded that conduct that they think is done in the “ordinary course of business” is actually a securities law violation, with significant consequences.

How Do I Respond to a Wells Notice?
A Wells Notice is notification from a regulator that it intends to recommend that enforcement proceedings be commenced against the prospective respondent. The notice references, in broad-strokes, the violation that the Staff believes has occurred. How you respond can make all the difference in your case.

Introduction to Insider Trading – insider trading refers to two types of trading, one that is legal, and the other that is not. Read Article.

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