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Articles 1 - 2 of 2
Full-Text Articles in Law
Is Securities Arbitration Fair To Investors?, Barbara Black
Is Securities Arbitration Fair To Investors?, Barbara Black
Faculty Articles and Other Publications
Most disputes between customers and their brokerage firms are resolved through arbitration as a result of the Supreme Court's holding in Shearson/American Express, Inc. v. McMahon. McMahon was part of two larger trends of the Supreme Court: the Court's general pro-arbitration trend and its efforts to remove private securities fraud claims from federal court. Many investor advocates viewed McMahon as anti-investor, a view that continues to have support today.
This is an assessment of the current securities arbitration process from the perspective of an investor advocate. In my view, investors may fare better in arbitration than in litigation. Accordingly, the …
Entering The U.S. Securities Markets: Regulation Of Non-U.S. Issuers, Barbara Black
Entering The U.S. Securities Markets: Regulation Of Non-U.S. Issuers, Barbara Black
Faculty Articles and Other Publications
The U.S. securities markets offer the greatest opportunities for businesses that wish to raise additional capital or expand their shareholder base. Large non-U.S. corporations regularly tap the U.S. market for infusions of capital, and the securities of many non-U.S. corporations are listed on the New York Stock Exchange or traded on NASDAQ. Smaller non-U.S. entities, however, may be deterred from entering the U.S. markets because of concerns about the burdens of U.S. securities regulation. These concerns are legitimate: a decision to enter the highly-regulated U.S. securities markets should not be made lightly. For non-U.S. private issuers, perhaps the greatest difficulty …