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Perspectives

Perspectives | Real Life Stories

Real Life Stories

All legal jargon aside, you could be wondering what a face-off over an investment loss would really be like. We can't predict how the experience might play out for you personally. But we can provide viewpoints from people who have, from various perspectives, been in the thick of an arbitration process. Here is the world of investor dispute resolution, presented by real people, in their own words.

What's it like to take legal action against an advisor?

One couple tells how they fought back and recovered some of their losses. more

The broker who broke down.

A negligent broker confesses to a $3 million mistake, and client recovers losses. more

It's not your fault.

A financial advisor speaks up for investors and the attorneys who represent them. more


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Reality Check

Curb your optimism: Arbitration awards for full damages are few and far between.

The arbitration awards you see in headlines are the record breakers. But be aware: while many claimants in arbitrated disputes recover some of their losses, very few investors receive full compensation in this way. The reasons and rationale for the arbitrators' decisions vary. Patterns and precedent are not consistent in this area of law. Therefore, outcomes cannot be reliably predicted by attorneys for either party. Our attorneys counsel aggrieved investors to manage their expectations about upcoming arbitration. As Mr. Maddox has said, “It's no coincidence that the words arbitrary and arbitration have the same root.”