Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, February 17, 2014

Jaberi on Securities Regulation and ADR

M. Saleh Jaberi has posted Solving Securities Exchange Disputes by Means of Ombudsmen: Does It Work? on SSRN with the following abstract:

Alternative dispute resolution (ADR) is often used is in financial market and securities exchange disputes. Brokerage firms in Australia and the United Kingdom use ADR methods in the form of the financial ombudsman services to deal with stock market disputes. The processes and outcomes of these ombudsmen’s activities are governed by special rules, and their techniques include mediation, negotiation and the “determination” procedure to solve referred disputes. This article analyses these procedures, and the proportionality of the ombudsman framework for solving securities exchange disputes. This research has identified number of shortcomings in the ombudsman system, and recommends replacing it with arbitration.

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