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International Investment Fraud Arbitration

 

 
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The Adjudication of International Investor Claims

The international business community has access to U.S. courts and alternative dispute resolution mechanisms for the adjudication of commercial disputes. Likewise, aggrieved international investors who do business with United States securities, commodity futures and other financial services firms, through branch offices based both outside of and within the U.S., normally have a right to pursue their remedies in a U.S. - based arbitral institution or other alternative dispute resolution process.

The New York City Venue to Resolve Investment Disputes

International customers who bring their claims under the auspices of the major self-regulatory organizations ("SROs") that run arbitration programs, such as the New York Stock Exchange ("NYSE"), the National Association of Securities Dealers Dispute Resolution, Inc. ("NASD-DR") and the National Futures Association ("NFA"), usually elect to have their disputes adjudicated in a U.S. based venue, and New York City has always been a magnet for a large proportion of these cases. As a result, Eppenstein and Eppenstein's Manhattan attorneys have frequently been called upon to represent international investors who want to take advantage of a U.S. based venue to adjudicate their securities and commodities fraud claims and other investment related disputes.

Remedies Available to International Investors

Arbitration of securities and commodities disputes is usually required pursuant to financial services customer contracts, and claims arising under the U.S. securities laws are almost always subject to compulsory arbitration. Under the commodities laws there may be additional options, including court litigation and reparations. In any case, the international investor may seek the protection of both statutory and common law remedies in the U.S. to seek redress for stock broker abuses. These investors will likely face a number of fairly typical procedural and tactical issues asserted by the brokerage industry, such as statutes of limitations, eligibility rules at the SROs and preemptive affirmative defenses and counterclaims. But ultimately the international investor has the opportunity to obtain a favorable recovery in a U.S. venued proceeding.

International Clientele

 

 

 

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