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Important Disclosures and Public Statements

The articles published here represent the personal views of the author(s), and not necessarily the views of any securities firm, insurance company, FINRA, SEC or organization with which he or she may be affiliated. All statements made in these articles are for general information only and are not intended to provide, nor should they be relied on as, legal or investment advice. Readers must consult with their qualified investment, tax or legal advisors before relying upon any content contained herein. Statements made in these articles may be incorrect for your state or jurisdiction. Also keep in mind that at the time when you read such statements the underlying rules, regulations and/or decisions may no longer be controlling or persuasive as a matter of investment or insurance law or interpretation.

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Consumer Finance Articles

How to Prevent and Resolve Disputes with Your StockBroker

The Pace Law School Investor Rights Clinic with funding from FINRA created the Investor's Guide to Securities Industry Disputes. It strives to be the playbook on How to Prevent and Resolve Disputes with Your Broker. The Guide, co-authored by Clinic Director Jill Gross and Staff Attorney Alice Oshins, is designed to help individual investors with modest investment accounts prevent disputes from arising, learn their responsibilities as investors, assert their rights, and pursue a securities arbitration or mediation claim if the need to resolve a dispute does arise.

Part One deals helps you with avoiding disputes. You are made clear on your Investor Rights and Responsibilities. Topics covered include:

What are my top ten responsibilities as an investor?
What are my broker’s duties to me as a customer?
How can I address problems that may arise with my investments?
How can I find an attorney to assist me?

Part Two provides a clear description of the securities arbitration process, including procedural requirements, fees, and what to expect at the hearing. It also explains the mediation process, and offers a number of reasons why investors should consider mediation as an alternative to arbitration or litigation. PART II also answers the questions:

What do you file for an arbitration?
What happens after a claim is initiated?
Can I change the Statement of Claim after it has been filed?
How are arbitration fees determined?
How are the arbitrators selected?
What is contained in an arbitration award?
How can I collect on an award or settlement?
What is mediation?
What takes place during the mediation process?

The Investor's Guide to Securities Industry Disputes is a great read, a great guide and very helpful to Consumers and Financial Services Professionals that serve them. Download Investor's Guide to Securities Industry Disputes