On Demand Audio

Arbitrating Securities Claims: A Basic Guide for Lawyers

(367 reviews)

Produced on October 08, 2019

$ 99 Business, Corporate, & Securities In Stock
Get started now

$299 / year - Access to this Course and 1,500+ Lawline courses


Course Information

Time 1h 30m
Difficulty Intermediate
Topics covered in this course: Business, Corporate, & Securities

Course Description

The investment markets today are vastly different and more complex than ever before. The traditional stockbroker is an anachronism and individual stocks and bonds no longer dominate investor portfolios. Instead, “Financial Advisers” recommend a spectrum of investment products such as mutual funds, ETFs, private placements, and deferred annuities. Portfolio Allocation has replaced active management and fee-based accounts monetize formerly inactive assets. The consequence of this transition is that securities claims today focus heavily on investment products and services requiring risk analysis well beyond mere market analysis. Over the past 10 years the stock market has risen sharply from its lows in 2009, and these gains have masked losses caused by the costs, fees, and limitations in many investment products that impair returns.  

Securities Arbitration, the forum for customer disputes, no longer centers on stock prices. Rather it is faced with complex, costly, and risk obscured services or products that require unwinding with expert support. Traditional Damage models are inadequate to quantify the losses over time based on factors unrelated to stock performance. This program, taught by Frederick Rosenberg, a retired attorney with over 40 years of experience as a FINRA Principal, an Examiner-in Charge of Bank Trust and Brokerage credit-audits,  a sole practitioner representing claimants in Arbitration, and a forensic expert in securities arbitration, will provide a basic introduction to Securities Arbitration in 2019, including all phases of a Securities Claim in an era of investment products and financial planning.

Learning Objectives:

  1. Assess a securities claim
  2. Discuss eligibility and securities rules and regulations
  3. Review arbitration and mediation procedures
  4. Draft a statement of claim
  5. Assess liabilities
  6. Grasp the available defenses
  7. Draft motions and use experts effectively
  8. Calculate damages using different methodologies

Credit Information

After completing this course, Lawline will report your attendance information to {{ accredMasterState.state.name }}. Please ensure your license number is filled out in your profile to ensure timely reporting. For more information, see our {{ accredMasterState.state.name }} CLE Requirements page . After completing this course, {{ accredMasterState.state.name }} attorneys self-report their attendance and CLE compliance. For more information on how to report your CLE courses, see our {{ accredMasterState.state.name }} CLE Requirements FAQ .


Frederick Rosenberg

Personal Wealth Analytics

Frederick Rosenberg is a retired attorney with over 40 years’ experience as a Finra Principal, as Examiner-in Charge of Bank Trust and Brokerage credit-audits, as a sole practitioner representing claimants in Arbitration, and as a forensic expert in securities arbitration. He has authored several articles on Investor issues, including deferred annuities, and is a longtime editor and contributor to the Public Investors Arbitration Bar Association, PIABA, Bar Journal. In recent years as a Forensic Expert he has seen a meaningful increase in insurance claims involving deferred annuities as older ones are switched or surrendered with losses.


Nancy C.

Very knowledgeable and well spoken presenter.

Edward C.

Mr. Rosenberg is extremely knowledgeable - I appreciated the presentation.

Philip S.

exceptional written materials

Lori B.

It’s so refreshing when you actually have someone who knows what they’re talking about and can convey it crisply. Keep this guy.

Misha W.

Extremely detailed and knowledgeable presentation on the FINRA arbitration forum, Would definitely recommend.

Kate S.

Really enjoyed this speaker.

Jesse J.


Mary Esther E.

Excellent presenter.

Mark B.

Excellent overview.

Andrew O.

good course

Scott R.

Lots of detail. Great background for understanding modern trends.

Kristine Anne R.

Topics were arranged logically and the lecture was clear and on point.

Thomas D.

Very knowledgeable.

Carolyn A.

This is not my area but it met my educational goal.

Emily B.

I thought the course and presenter were excellent.

Arthur S.

I have been arbitrating securities cases for over 35 years and I learned somethings. Well done.

Load More