International Investor Rights Remedies | Securities Arbitration Attorney Madelaine Eppenstein

Securities Arbitration Attorney

International Investors Fraud Lawyers for Investment Claims and Remedies

This article focuses on the practical considerations of potential claims and remedies available to international investors in their securities fraud or commodities fraud disputes against overseas offices of major U.S. broker-dealers and futures commission merchants. It provides the historical context in which the United States Supreme Court has mandated that claims arising under the U.S. securities laws are almost always subject to compulsory arbitration at the various arbitral self-regulatory organizations such as the NASD (National Association of Securities Dealers) and NYSE (New York Stock Exchange). Under the commodities laws there may be additional options, including court litigation and reparations proceedings. In both cases, the international investor may seek the protection of both statutory and common law remedies in the U.S. to gain redress for fraudulent activity. Although there are various theories of liability for fraudulent conduct by a broker and common procedural considerations that may differ from systems of justice abroad, the international investor ultimately has the opportunity to obtain a highly favorable recovery in a United States court, arbitration or reparations proceeding for securities fraud or commodities fraud claims.

Brooklyn Journal of International Law

2002

Twenty-Fifth Anniversary Alumni Issue

Alumni Article

INTERNATIONAL INVESTORS' RIGHTS AND REMEDIES

IN THE ADJUDICATION OF DISPUTES WITH

U.S. SECURITIES AND COMMODITIES FIRMS IN THE CONTEXT

OF U.S. ARBITRAL FORUM SELECTION

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