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The Practitioner's Guide to Securities Arbitration

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ISBN: 9781614387602
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ISBN: 9781614387602
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Investors who have been victims of bad investment advice, or worse, financial fraud often do not understand how their money is invested, nor the risks associated with such investments. Surprisingly, only a small percentage of cases are filed against the securities industry even though investment abuses are rampant.

The Practitioner's Guide to Securities Arbitration provides a comprehensive discussion of practices and procedures with a particular emphasis on techniques to identify, evaluate, and pursue legal claims brought by investors against securities brokerage firms, and on the defenses thereto. Learn to articulate and accurately state how your client has been damaged as well as how to correctly measure damages as they apply to the situation. Gain a valuable edge by mastering tactics used in arbitration with the Financial Industry Regulatory Authority.

Sections include:
•   Defining the players in a securities arbitration case
•   Time limitations and other deadlines
•   Common claims
•   Bringing and defending claims, arbitrators and motion practice
•   Discovery and hearing practice and procedures

Each topic is extensively covered to help your clients recover losses caused by bad investment advice or financial fraud with, Securities Arbitration.