Selected Articles and Other Legal Information

[IMPORTANT NOTICE AND DISCLAIMER: All articles and papers on this site are published for general informational purposes and do not constitute legal advice, nor create an attorney-client relationship between this firm and the reader.  The articles are believed to be accurate on the date written but may not be updated to incorporate changes in the law after the date of publication on the site, and therefore, any information contained therein should be researched and confirmed to assure currency.]

Securities Registration and Exemptions Under Federal and Arizona Law

“Within or From” under Arizona Securities Laws

How does the FINRA arbitration process work for investor claimants?

Class Action vs. Securities Arbitration

Arizona Securities Division Administrative Proceedings

Fines, Penalties, and Liabilities for Violating the Arizona Securities Laws

Ponzi Schemes, How to Detect and Avoid, How to Recover

Business Transactions/Investment Contracts and the Securities Laws

Notes as Securities Under the Securities Laws

The Accredited Investor Exemption from Securities Registration

Who is Considered an Accredited Investor Under Federal and State Securities Laws?

The Private Offering Exemption Under Arizona Securities Law

Whether Companies May Represent Themselves in Arizona Courts

CRD Expungment of FINRA Customer Disputes and Complaints

Expungement of Form U5 Information

FINRA’s Optional All Public Arbitrator Program

Fiduciary Duties of Trustees in Investment and Financial Matters

Personal Jurisdiction in Arizona Securities Cases

Types of Deeds in Arizona and Utah

Statutes of Limitation in Arizona

Statutes of Limitation in Arizona Securities Cases

Statutes of Limitation in Utah

Information On Your Mediation

Duty of a Brokerage Firm to Monitor Customer Accounts and Make Recommendations

Contributory Negligence As A Defense to a Securities Law Claim

How Long Are Judgments Enforceable?

Authorities On the Failure to Disclose Material Facts In Connection With The Sale Of Securities

Authorities On Securities Account Churning

Authorities on Securities Account Concentration

Authorities on Securities Fraud Claims

Contact Us

To arrange a consultation to review your claims or defenses in a securities, investment, financial or commercial related dispute, please call us in Phoenix at (602) 468-1411 or in Utah at (435) 673-1411, or please e-mail Robert Mitchell at robertmitchell@mitchell-attorneys.com.

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