The Securities Litigation Expert Blog

Comparison of Finra Arbitration to Civil Litigation for Investment Advisors

Posted by Jack Duval

Dec 8, 2012 3:52:44 AM

Sutherland has a concise comparison for Investment Advisors of litigating through Finra's Dispute Resolution forum (arbitration) versus traditional civil litigation through the courts. (Sutherland)  My only critique is that the majority of Investment Advisor agreements I have seen have included arbitration agreements through other forums such as AAA and JAMS.

Finra is generally much less costly than these other forums.

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Topics: FINRA, civil litigation, Investment Advisors, litigation, arbitration, AAA, JAMS

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