Our Securities/Brokerage Firm litigation team, led by Mark Krudys, achieved several recent victories on behalf of our clients in front of the Financial Industry Regulation Authority (FINRA) Panel. In March 2013, our securities team obtained a $300,000 award from FINRA on behalf of a former executive of Anderson & Strudwick, a former Richmond brokerage firm, against five guarantors of a […]
Can Your Employer Really Stop You From Taking a New Job?
/in Securities Law /by Mark KrudysWhen an employee leaves one job for another, they often are surprised to find out that their previous employer might be able to prevent them from working in the same industry. Many employers write provisions into their employment contracts that seek to prevent employees from working for competitors. However, these provisions do not always comply […]
Claims Against Stockbrokers
/in Securities Law /by Mark KrudysDisputes frequently arise between investors and their securities brokers. It is best to be proactive if you believe your broker has mismanaged your investments. As an investor, you may report any issues or disputes to your broker’s manager or the brokerage firm’s compliance department. You should keep notes of all telephone calls with your broker […]
Mark Krudys Recognized by Super Lawyers Business Ed.
/in Attorney & Staff Updates /by Mark KrudysMark J. Krudys has been recognized by Super Lawyers Business Edition 2013 as a top attorney in commercial litigation. According to its publisher, the Business Edition “features the top attorneys in commercial practices across the nation and in London.” Each attorney featured in this Super Lawyers publication “exhibits excellence in the practice of law and has been […]
Fighting Back Against Debt-Collectors and Telemarketers
/in Legal Examiner /by Mark KrudysIn 1991 Congress passed the Telephone Consumer Protection Act (TCPA), in an attempt to end unwanted prerecorded telemarketing messages and unwanted calls to cell phones. Although it was enacted more than 20 years ago, the Wall Street Journal recently reported that the number of claims for violations of the TCPA that are filed in, or transferred to, […]
Some Financial Advisors Prey on Veterans
/in Legal Examiner /by Mark KrudysAccording to the Wall Street Journal, veterans who hire financial advisors to assist them in receiving military benefits are at risk for abuse. These financial advisors are accredited by the Department of Veterans Affairs’ Office of General Counsel. Attorneys, veteran service organization employees, financial planners and others are all eligible to apply for such a […]
Firing Shots Into the Crowd
/in Legal Examiner /by Mark KrudysOn the morning of Friday, August 24, 2012, visitors to the Empire State Building were lining up to ascend the famous structure. The area was crowded, as usual, with tourists and office workers. There was nothing out of the ordinary until police began firing shots into the crowd. A total of 16 shots were fired. […]
Financial Advisors “On the Move” – Protocol and Covenants You Should Know
/in Legal Examiner /by Mark KrudysWhether the move is voluntary or as a result of an unexpected termination, financial advisors moving to new brokerage firms face a legal and business quagmire that may affect their ability to serve new and existing clients: What about the client list and the accounts that were serviced with the former firm? Can the new firm […]
PKP is Local Counsel in Investor Suit Filed Against Star Scientific
/in Attorney & Staff Updates /by Mark KrudysThe local press reported on the shareholder derivative complaint filed against Star Scientific, Inc. by Kahn Swick & Foti, a La.-based law firm, and Phelan | Krudys | Petty as follows: Embattled drug firm sued by shareholder New investor suit filed against Star Scientific
Krudys Selected as a 2013 Top Rated Lawyer in Securities Law
/in Attorney & Staff Updates /by Mark KrudysMark J. Krudys has been selected by Legal Leaders as a Top Rated Lawyer in the field of Securities Law. Mark and other lawyers so selected will be honored in in a special section highlighting Top Rated Lawyers in Securities Law, which will be presented in The American Lawyer, Corporate Counsel, and the National Law Journal.
Securities /Brokerage Firm Litigation News
/in Attorney & Staff Updates /by Mark KrudysOur Securities/Brokerage Firm litigation team, led by Mark Krudys, achieved several recent victories on behalf of our clients in front of the Financial Industry Regulation Authority (FINRA) Panel. In March 2013, our securities team obtained a $300,000 award from FINRA on behalf of a former executive of Anderson & Strudwick, a former Richmond brokerage firm, against five guarantors of a […]