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
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
Madelaine Eppenstein
Copyright © 2002, 2007 Madelaine Eppenstein
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