The Pace Law School Investor Rights Clinic, pursuant to a generous grant from the FINRA Investor Education Foundation, has just published the Investor’s Guide to Securities Industry Disputes: How to Prevent and Resolve Disputes with Your Broker.  This Guide, which I co-authored with Clinic Staff Attorney Alice Oshins, is designed to help individual investors with modest investment accounts prevent disputes with their brokerage firms and brokers from arising, learn their obligations as investors, assert their rights as investors, and pursue a securities arbitration or mediation claim if needed to resolve any disputes that do arise.  We developed the Guide by drawing on the clinic’s twelve years of experience providing free legal services to individual investors.

The Guide is available for free download at the link above.  Also, we are happy to mail print copies free of charge to anyone who might benefit from it or to any legal organization that would like to provide it to their clients.  Just send me an e-mail (jgross@law.pace.edu) with the mailing address.