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, authored by Professor Jill Gross, the Director of the school's Investor Rights Clinic, and Clinic Staff Attorney Alice Oshins, is designed to help individual investors with modest investment accounts. The Guide is designed to prevent disputes, to help investors learn their obligations as investors, to assert their rights as investors, and pursue a securities arbitration or mediation claim if needed to resolve any disputes that do arise.
While designed for investors, a quick read wouldn't hurt the retail broker either.
