Investor's Guide to Security Industry Disputes: How to Prevent and Resolve Disputes with Your Broker
Document Type
Guide
Publication Title
Pace Law School Investor Rights Clinic
Publication Date
2017
Abstract
(Excerpt)
The Pace Investor Rights Clinic produced this Guide to Securities Industry Disputes for the individual investor who hopes to prevent or may already have a dispute with his or her securities broker. Our goal is for investors to learn more about their legal rights and best practices for responsible investing, before a dispute arises, and to gain an understanding of their options in case a dispute does arise. We hope that informed investors will be better able to prevent disputes with their broker as well as identify and resolve legitimate grievances.
The first section of this Guide covers investors’ rights and responsibilities, tips on how to research brokerage firms and brokers, and brokers’ duties to their customers. The second section takes you through the arbitration process, including when arbitration is appropriate, procedural requirements, fees, and what to expect at the hearing. The third and final section focuses on mediation, an increasingly popular alternative to arbitration.
Comments
Available at: https://www.finra.org/sites/default/files/Investors_Guide_to_Securities_Industry_Disputes_0.pdf
Published by the Pace Law School Investor Rights Clinic. Generously funded with a grant from the FINRA Investor Education Foundation.