Stock
Broker Law
Legal
recourse for stock fraud
People
who have been victimized by stock fraud may be eligible for
compensation as well as damages through legal action.
Arbitration
Usually
disputes between a brokerage and a client are not decided in court
but through arbitration. Arbitration is a process in which the two
parties agree to have their dispute settled by independent
arbitrators chosen by mutual consent. It tends to be much quicker
and less expensive than settling in a civil court.
Other
reasons for Arbitration
Most
brokerage firms have their clients sign a contract that contains
an arbitration clause. This usually prevents clients from settling
disputes through the courts.
Arbitration
compensation versus court compensation
Arbitration
hearings are quicker than lawsuits handled in federal or state
courts and generally the settlement amounts are the same. The
cases below show that large settlements are possible through
arbitration.
Kidder
Peabody paid out $21.5 million on Oct. 16, 1998
Pompano-Windy
City Partners , East Wind Associates paid out $26.0 million on
March 14, 1991
Prescott Ball & Turben paid out $38.2 million on May 2, 1990
Refco
LLC, Capital Insight Brokerage paid out $43.0 million on June 30,
2001
An
undisclosed firm paid out $40.9 million on June 4, 1999
Legal Help
It's
imperative that the client seek legal help as soon as fraud is
discovered or strongly suspected. Time is of the essence in stock
fraud cases. The failure to react to a confirmation order
reporting trades that are against the client's expressed wishes
may signal tacit consent to an arbitration committee.
The
following are the steps an attorney takes in seeking compensation
in cases of stock fraud:
1.
First the attorney will review the losses in the clients account.
2. Than he or she will consider the losses in light of the overall
market health,
3. study the trading activity in the account and commissions
charged,
4. evaluate the brokers recommendations to see if they were
consistent with the clients needs and objectives,
5. garner expert witnesses and analyze state, federal and
professional regulations.
Do
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recover your losses. Get Help with Securities Fraud Now!
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Information on Rockbridge Securities Inc. of Irvine California
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