The Historical Basis of Securities Arbitration as an Investor Protection Mechanism

16 Pages Posted: 8 Feb 2016 Last revised: 22 Jul 2016

Jill Gross

Pace Law School

Date Written: February 7, 2016

Abstract

This article explores the history of arbitration in the securities industry, focusing on the right of customers to demand arbitration of broker-dealer disputes. The article argues that, rather than depicting FINRA arbitration as an alternative dispute resolution process offering a level playing field, FINRA, as well as industry and investor advocates, should recall and reinforce the historical basis of securities arbitration as a mechanism to protect investors.

Keywords: securities regulation, arbitration, forum selection clause

JEL Classification: K22

Suggested Citation

Gross, Jill, The Historical Basis of Securities Arbitration as an Investor Protection Mechanism (February 7, 2016). Journal of Dispute Resolution 171, 2016. Available at SSRN: https://ssrn.com/abstract=2728978

Jill Gross (Contact Author)

Pace Law School ( email )

78 North Broadway
White Plains, NY 10603
United States

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