Archived
Can a release be 2 1/2 pages and the last pages are signatures pages that stand alone.
Peter's answer
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Answered on May 07, 2014
You have a right to be cautious. You may ask that the pages be numbered "Page X of 4", that the parties initial the bottom of each page, and...
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Archived
How are FINRA settlements taxed ? Can I offset the settlement amount with the losses of the bad investments ?
Peter's answer
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Answered on March 11, 2014
It appears from the premise of your question that your settlement was to compensate you for your out-of-pocket losses for the unsuitable...
Archived
How can I sue/go into arbitration to recover $ 46,000 lost in my IRA Act. & $20,000 in a regular Act. during the year 2013
Peter's answer
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Answered on February 26, 2014
The answer to your question is that you most likely have a customer agreement with your brokerage firm that requires all disputes to be arbitrated...
Archived
Arbitration settlement was agreed by both parties. How do I enforce the settlement?
Peter's answer
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Answered on February 21, 2014
I agree that you need to consult with your attorney or another attorney licensed in your jurisdiction. Whether you have a stipulated arbitration...
Archived
A man claims to be a financial investment consultant for an international company but is resigning to start his own company
Peter's answer
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Answered on February 20, 2014
Yes. There is no legitimate reason for someone to use your identity to conduct their own business,
Archived
Are franchises required to list disputes that were resolved through arbitration in their FDD?
Peter's answer
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Answered on February 18, 2014
The franchisor's FDD is required to disclose pending material civil actions (including arbitrations) that allege a violation of a franchise,...
Archived
Arbitration fees awarded in case requested by lawyer in addition to part of damages awarded.
Peter's answer
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Answered on February 12, 2014
I agree. Your retainer agreement with your lawyer should have a provision in it addressing the issue of recovery of costs and expenses, which are...
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Should I opt-out of this arbitration agreement with this staffing agency I'm employed with.
Peter's answer
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Answered on January 23, 2014
In my experience, arbitration of employment disputes weighs in favor of the employer, especially when you take into account recovery of costs and...
Archived
Is it legal to trade with a U.S. account while I'm living out of the country?
Peter's answer
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Answered on January 20, 2014
It is not illegal for you as a non-resident to have a securities account with a U.S. brokerage firm. However, if you need to sign anything, you...
Archived
In a copyright case how can an author get around an arbitration clause ?
Peter's answer
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Answered on January 16, 2014
I agree with Jeffrey Hyndman's response. The legal provisions of arbitration agreements are often difficult to understand and are also sometimes...
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