Thought Leadership
Publications & Articles
Tracy Stoneman has co-authored a book and published numerous articles championing investor rights and reforming the arbitration process.
Brokerage Fraud: What Wall Street Doesn't Want You To Know
Co-authored by Tracy Pride Stoneman and Douglas Schulz, this book describes nefarious sales practices and explores the resulting arbitration process from the investor's point of view. Available on Amazon.
Navigating the Fog of Securities Fraud
How investors can recognize the warning signs of broker misconduct and take action to recover their losses through FINRA arbitration.
Making FINRA Arbitration Fairer for Investors
Published articles on procedural reforms designed to level the playing field for investors in FINRA arbitration proceedings, drawing on decades of arbitration experience.
The Duty of Suitability: What Your Broker Owes You
An examination of the suitability obligations brokers owe their clients and how violations of these duties give rise to arbitration claims.
Protecting Senior Investors from Financial Exploitation
A look at the tactics used to exploit elderly investors and the legal remedies available to recover losses through FINRA arbitration.
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