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Brian Smiley Receives PIABA’s 2014 Distinguished Service Award

November 17, 2014 by lmitchum

On October 24, 2014, the Public Investors Arbitration Bar Association (PIABA), an international bar association comprised of attorneys dedicated to the representation of individual investors in disputes with the securities industry, announced the 2014 PIABA Distinguished Service Award recipient, Brian N. Smiley. Brian is a former president of PIABA and member of its board of […]

Filed Under: Firm News Tagged With: Atlanta Securities arbitration attorney, Atlanta securities law firm, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Law Firm

Smiley Presentation Receives National Press

November 17, 2014 by lmitchum

Brian Smiley moderated a panel discussion on “The Arbitrator’s Perspective” at the 2014 PIABA Annual Meeting in La Quinta, California. Brian has spoken over 15 times at PIABA meetings on topics ranging from brokerage misconduct to arbitration strategy and techniques. This most recent presentation was the subject of a 10/27/2014 article http://www.thestreet.com/story/12927272/1/fighting-your-broker-in-arbitration-finra-judges-give-some-tips.html in TheStreet by […]

Filed Under: SBP In The Press Tagged With: Atlanta Securities arbitration attorney, FINRA, FINRA Arbitration, Securities Arbitration Attorney, Securities Fraud Lawyer

Mike Bishop elected president of North Fulton Bar Association

February 20, 2013 by lmitchum

Smiley Bishop & Porter partner J. Michael Bishop has been elected president of the North Fulton Bar Association for 2012-2013. The NFBA consists of approximately 130 members who are primarily lawyers practicing or living north of the Chattahoochee River in the Atlanta, Georgia metropolitan area. Its membership also includes judges whose jurisdictions include North Fulton County. […]

Filed Under: Firm News Tagged With: Atlanta stock fraud attorney, Securities Arbitration Attorney, Securities Law Firm, Securities Lawyers

State of Georgia Investigating Sales of Reverse Convertible Notes

July 21, 2011 by jordan

It has been reported that the Secretary of State of Georgia, who regulates stockbrokers, is investigating whether securities laws were violated by the sale of reverse convertible notes to Georgia investors. According to a July 21, 2011 report in Bloomberg, the Secretary has issued subpoenas to UBS AG, Morgan Stanley, and Ameriprise Financial Inc. in order […]

Filed Under: Blog Tagged With: Ameriprise Financial, FINRA, Morgan Stanley, Reverse Convertible Notes, SEC, Securities Arbitration Attorney, UBS

U.S. Supreme Court Decision Gives Arbitration a Big Boost

July 6, 2011 by jordan

In AT&T Mobility LLC v. Concepcion (April 27, 2011), the U.S. Supreme Court handed a big win to corporations that want to avoid facing class actions for consumer fraud. In a five to four decision, the Court reversed a Ninth Circuit ruling that invalidated a provision in AT&T’s cell phone contracts which required customers to […]

Filed Under: Blog Tagged With: FINRA, FINRA Arbitration, Securities Arbitration Attorney, Securities Lawyers

David Lerner & Associates, Inc. Apple REITs Investigation

June 17, 2011 by jordan

Investors in Apple REIT Ten sold by David Lerner & Associates, Inc. (“DLA) have reason to consider their legal options. FINRA recently filed a complaint against DLA, the underwriter of Apple REIT Ten which invests in extended stay hotels. FINRA alleges that DLA sold this investment to elderly and unsophisticated clients despite having failed to […]

Filed Under: Current Investigations Tagged With: Apple REITs, FINRA, Investment Fraud Attorney, Securities Arbitration Attorney

The Three Most Common Wall Street Defenses

June 16, 2011 by jordan

There are between 3,000 and 9,000 arbitration claims filed with FINRA against brokerage firms every year. The most frequently filed complaints allege that a broker breached his/her fiduciary duty, made misrepresentations, or sold investments that were not suitable for the client’s needs or investment objectives. For every case that actually gets filed in arbitration there […]

Filed Under: Blog Tagged With: Auction Rate Securities, FINRA, Principal Protected Notes, SEC, Securities Arbitration Attorney, Securities Lawyers

An Overview of FINRA Arbitration

April 22, 2011 by jordan

An Overview of FINRA Arbitration

When clients open a brokerage account they usually sign a contract requiring them to resolve any disputes with the firm or their broker through arbitration rather than in court. The Financial Industry Regulatory Authority (FINRA) is normally the forum where these cases are heard. There are pros and cons to FINRA arbitration, but the basic […]

Filed Under: Blog Tagged With: FINRA, FINRA Arbitration, Investment Fraud Attorney, Securities Arbitration Attorney

An Outline of the FINRA Arbitration Process For Customer-Broker Disputes

April 20, 2011 by jordan

I.          General A.        Nearly all brokerage firms require retail clients to sign an agreement to have all disputes between them decided in arbitration rather than court. B.        About 25 years ago, in Shearson/Am. Express, Inc. v. McMahon, 402 U.S. 220 (1987), the U.S. Supreme Court upheld the validity of arbitration clauses which require clients to […]

Filed Under: Articles Tagged With: FINRA, FINRA Arbitration, Investment Fraud Attorney, Securities Arbitration Attorney, Securities Fraud Lawyer, Securities Law Firm, Securities Lawyers, Stock Fraud Attorney

Public Guard Changes at SICA

April 11, 2011 by jordan

Public Guard Changes at SICA

Brian Smiley’s appointment to SICA is discussed in a recent Securities Arbitration Commenter Alert. A “Securities Arbitration Alert” published on April 6, 2011 by the Securities Arbitration Commentator discussed Brian Smiley’s recent appointment to the Securities Industry Conference on Arbitration (SICA).

Filed Under: SBP In The Press Tagged With: Securities Arbitration Attorney, Securities Lawyers, SICA

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