Who is eligible to pursue a securities arbitration claim?
In Georgia, anyone who has suffered a financial loss as a result of an investment or securities transaction is eligible to pursue a securities arbitration claim. This includes individual investors, companies, and other entities. Generally, an individual or entity needs to have made an investment or securities transaction in order to bring a claim against a broker-dealer, registered representative, or other investment professional. In addition to having made an investment or securities transaction, an individual or entity must also have incurred a financial loss as a result of that investment or securities transaction in order to be eligible to pursue a securities arbitration claim. The financial loss can be direct, such as when an investor loses money due to the fraudulent conduct of a broker-dealer. But it can also include indirect losses, such as when an investor misses out on the opportunity to make a profit due to the broker-dealer’s negligent or unethical conduct. It is also important to keep in mind that it is not just individual investors that are eligible to file a securities arbitration claim. Companies and other entities can also pursue a claim if they have suffered a financial loss due to the actions of an investment professional. So, if you or your company have been the victim of a securities fraud or negligent conduct, then you may be eligible to pursue a claim.
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