arbitration

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Is Your Investment Loss Claim Eligible for Arbitration?

FINRA arbitration provides an efficient and cost-effective way for investors to resolve their investment loss claims. Discovery is streamlined, and dispositive motions such as motions […]

What is the Time Limitation on Investment Loss claims?

FINRA arbitration provides an efficient and cost-effective way for investors to resolve their claims. Discovery is streamlined, and dispositive motions such as motions to dismiss […]

A “Small” Claims Avenue of Redress for Investors

We have commented in this space before on the starkly discouraging facts facing investors contemplating bringing legal action to redress the wrong doings of Wall Street.  To […]

By |April 15th, 2014|Categories: Wall Street|Tags: , , , , , |0 Comments

FINRA’S Suitability Rule and Unintended Consequences

The history of securities arbitration, a creation of the brokerage industry, is also a story of unintended consequences.  One of those unintended consequences is known […]

The Battle for a Fair Arbitration System for Investors

There is a growing drumbeat from officials and members of the public demanding an alternative to the biased system of mandatory arbitration administered by the Financial Industry Regulatory Authority (FINRA). The battle for some semblance of justice for investors is not new, however.  […]

By |March 11th, 2014|Categories: Washington|Tags: , , , , |0 Comments

FINRA Arbitration a Kangaroo Court

A divorcee in her 70’s, I’ll refer to as Helen, who lost $1 million, filed a FINRA arbitration claim as called for by the account opening document the broker dealer required her to sign.  After all of the usual discovery and other procedural happenings, and after settlement discussions broke down, the matter proceeded to a hearing. […]

By |March 11th, 2014|Categories: Washington|Tags: , , , |0 Comments