This video-podcast hosted by the Securities Arbitration Commentator discusses how the ranks of the investment advisory community have grown rapidly over the past decade, as the asset-gathering model has led to more wirehouse brokers migrating to RIA platforms and more investors, shaken by the tech crash and the 2008 financial crisis, have looked for professional advice as a protection against uncertain markets.
Our panel looks at arbitration, as utilized today, by RIAs and their advisory clients. What are the advantages and disadvantages of resolving disputes through the use of AAA arbitration, as opposed to litigation? How has AAA progressed in its handling of these disputes? What RIAs are able to use FINRA Arbitration and what are the advantages and disadvantages of that forum? How does the advisory client fare in arbitration versus court – what are the timelines, expense, and collection variables? This podcast, recorded before recent market events, is especially timely.
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