Arbitrators Have an Important Role in Keeping the Financial Markets Honest
News stories and congressional inquiries into financial scams perpetrated by Madoff, Stanford and others have shined a light on the problem of lax enforcement of securities laws and rules by regulators. Recent trends suggest that arbitrators, however, are increasingly cognizant of their importance in the process of requiring financial firms to comply with applicable securities laws and rules, and protecting victims of firms that do not comply.
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