Abstract

https://ssrn.com/abstract=2728978
 


 



The Historical Basis of Securities Arbitration as an Investor Protection Mechanism


Jill Gross


Pace Law School

February 7, 2016

Journal of Dispute Resolution 171, 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.

Number of Pages in PDF File: 16

Keywords: securities regulation, arbitration, forum selection clause

JEL Classification: K22


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Date posted: February 8, 2016 ; Last revised: July 22, 2016

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

Contact Information

Jill Gross (Contact Author)
Pace Law School ( email )
78 North Broadway
White Plains, NY 10603
United States
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