Nicholas J. Guiliano, Esquire of the Guiliano Law Group, P.C. is scheduled to speak at the Rutgers Law School Camden on April 12, 2013 on the history and practice of federal securities arbitration law, including recent developments in the law, as part of a course entitled Securities Litigation and Enforcement.
The Focus of the Lecture
His lecture will focus on Common Myths and the Reality of Arbitration, the Contractual Arbitration of Investor Disputes, Who is a “customer,” and recent developments in the law including UBS Fin. Servs., Inc. v. West Virginia Univ. Hospital, the Charles Schwab & Co., Inc. FINRA Opinion, relating to the prohibition of class actions, and a recent decision in the case of the Public Investors Bar Association versus the Securities & Exchange Commission regarding the disclosure of the Commission’s oversight of the FINRA’s arbitrator selection, appointment and retention policies.
Included in the Lecture
Mr. Guiliano’s presentation will also include the legal basis for common claims against stockbrokers and investment professionals for the sale of unsuitable investments, the recommendation of defective financial products, failure to conduct due diligence and the failure to supervise, along with recent developments in the law regarding “selling away” or the sale of unregistered securities in the form of Ponzi schemes by registered persons, the review of arbitration decisions by the Courts, and the interplay between class actions and arbitration.
Nicholas J. Guiliano, Esquire and the Guiliano Law Group have represented more than 1,000 investors in claims against securities broker-dealers, stockbrokers, and investment professionals, both nationally and internationally.
A copy of his lecture outline, appendix of reading materials, and the course reading materials, are available.
Guiliano Law Group
If you have been the victim of securities fraud you should consult with an attorney. The practice of Nicholas J. Guiliano, Esq., and The Guiliano Law Group, P.C., is limited to the representation of investors in claims for fraud in connection with the sale of securities, the sale or recommendation of excessively risky or unsuitable securities, breach of fiduciary duty, and the failure to supervise. We accept representation on a contingent fee basis, meaning there is no cost unless we make a recovery for you, and there is never any charge for a consultation or an evaluation of your claim. For more information contact us at (877) SEC-ATTY.
