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The Finra Arbitration Process: Investor Disputes Against Brokers

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Millions of investment transactions take place every day in the U.S. and investors often use brokers to manage their investments. Brokers—either firms or individuals—make their money from commissions. With the amount of activity and money being invested daily, there is bound to be a high potential for a broker to defraud or otherwise take advantage of investors. What recourse do investors have when their brokers mismanage the investments (often for their financial gain)?

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Non-Profit Groups Offer Aid to Fraud Victims and Consumers

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If you think you have been (or are about to be) defrauded, cheated, or scammed, check out these organizations that offer resources and other information to protect yourself and others.

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Federal and State Agencies Investigate Frauds and Offer Resources to Their Victims

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Multiple state and federal agencies in the United States offer consumer protection oversight and investigations for people or companies who are defrauded, cheated, and scammed. Those agencies are a resource for educational information about the latest schemes and frauds as well as options to report claims to investigators.

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What is a Receiver?

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Often, when a company or individual is suspected of fraud,either because of a criminal indictment or a civil suit from the SEC or a private individual, the Courts will take action to make sure that an “outside”person has some level of authority over the assets or operations of that company. You’ll see this a lot in bankruptcy cases – even in legitimate, non-fraudulent bankruptcies – a company will enter bankruptcy, and the Court will appoint someone to make sure that the assets of the company are sold at maximum value, or the operations of the company are continued so as to add more money to the pot for the bankruptcy creditors.

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