We exist to ensure that the corporate finance industry is conducting business fairly and under the guidance and supervision of policies set forth by this country.
We are committed to protect the investing public and maintaining the market integrity through efficient governance and regulation of the industry.
The facts in each securities related claim are different. They involve different individuals, different circumstances, different lawyers, and different Panels, Judges, or Arbitrators.Read More
Stockbroker fraud or fraud in connection with the sale of securities is prohibited by federal and state laws. Private causes of action for stockbroker fraud, and investment fraud including churning, suitability, and other violations of the federal securities laws, such as the failure to supervise, generally, are recognized under Section 10(b) of the Exchange Act of 1934, and SEC Rule 10b 5.Read More
Mediation is an informal, voluntary process in which an impartial person, trained in facilitation and negotiation techniques, helps the parties reach a mutually acceptable resolution. What distinguishes mediation from other forms of dispute resolution-principally, arbitration and litigation-is that the mediator does not impose a solution but rather works with the parties to create their own solution. Mediated solutions often include relief not available in arbitration or litigation.Read More