Alan Rosca, A Securities Attorney and Investor Advocate, Explains When FINRA Is The Right Forum for Investment Disputes

 



"Sometimes it is, and sometimes maybe less so. The problem with FINRA arbitration is that for some types of cases FINRA arbitration is great, and for other types of cases FINRA arbitration is just not the right forum. It depends on whether a case is larger or smaller, or more complex, or simpler. For a simple case, where the facts are clear, I like FINRA arbitration because I am able to finish a case fairly quickly and at low cost, and that means, hopefully, money in the investors’ pocket sooner with fewer expenses. On the other hand, for a more complex case, where a lot more discovery or evidence needs to be fleshed out, before we can get to trial, FINRA arbitration is just not the proper place to resolve disputes. It is not a one size fits all solution: for some cases FINRA is great, but other cases should not be before FINRA arbitration." - Attorney Alan Rosca, PIABA Interview


To find out more about the practice and admissions of Alan Rosca visit https://investorlawyers.org/our-team/alan-rosca/ Attorney Alan Rosca often writes for various publications across the country on topics from investment fraud to securities regulation. A list of Mr. Rosca’s articles can be found below:

COVID-Triggered Inflation Could Upend Traditional Investing Principles, Hurt Seniors’ Investments, published on January 21, 2021 in HG.org

Affinity Fraud and Ponzi Schemes: Victimizing One’s Own, published on January 18, 2021, in Global Law Experts

 Are You About to Be the Victim of a Ponzi Scheme?, published on January 2, 2021, in Entrepreneur

The Flip Side Of The Registered Investment Adviser Explosion: What Investors Need To Know , published on December 11, 2020, in Benzinga

Leading Signs You May Be at Risk for an Oil and Gas Ponzi Scheme, published on November 20, 2020, in Marketwatch

5 Red Flags For Pandemic-Related Investment Scams, published on November 19, 2020, in Law360

FinCEN leaks show need for transparency — including in civil litigation, published on October 20, 2020, in Crain’s Cleveland Business

That advice about not looking at your portfolio when the market crashes?, published on October 8, in Medium

New SEC rules or not, investors still need to be vigilant, published on August 26, 2020 in Crain’s Cleveland Business

Investment advisers working from home heightens ‘selling away’ concern, published on July 19, 2020 in Crain’s Cleveland Business


Attorney Rosca has been interviewed in the national media on topics from investment fraud to securities regulation. Visit https://alanroscaesq.com/#inthenews​ for a complete list of interviews. Alan Rosca is a Professor of Securities Regulation at Cleveland-Marshall College of Law. For academic papers and collaborations visit:

https://scholar.google.com/citations?user=p6KB2EIAAAAJ&hl=en&authuser=2&oi=ao 

https://independent.academia.edu/alanroscaesq

https://www.researchgate.net/profile/Alan_Rosca

https://papers.ssrn.com/sol3/cf_dev/AbsByAuth.cfm?per_id=4460781

https://orcid.org/0000-0001-8389-9581

https://publons.com/researcher/4060281/alan-rosca/

https://works.bepress.com/alan-rosca/

https://learninglab.si.edu/profile/alanroscaesq

 Follow attorney Alan Rosca on: Twitter https://twitter.com/alanrosca​ Facebook https://www.facebook.com/alanroscaesq/​ Linkedin https://www.linkedin.com/in/alan-rosca/

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