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Thursday, August 27, 2009

Guidance On How To Prevent And Resolve Disputes With Your Broker

Thanks to FINRA for the heads up on this great resource.

The Pace Law School Investor Rights Clinic has just published the Investor's Guide to Securities Industry Disputes: How to Prevent and Resolve Disputes with Your Broker.

The Guide 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.

The Guide 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.

View The Guide (PDF)