arbitration

Framing

Negotiation technique of presenting an offer in a more attractive way without changing its substantive terms. Thus, someone offering a settlement would frame the settlement as a gain and the trial as a possible risk. Someone opposed to settling would...

Securities Dispute Resolution

Dispute resolution methods, including mediation and arbitration, are non-judicial processes for settling disputes between two or more parties. In the securities industry, mediation and arbitration are very common. Formal litigation in court is...

Securities dispute resolution: Deciding whether to file an arbitration claim

Most retail investors must sign arbitration agreements when they open investment accounts with their brokers. Consequently, they are required to submit any disputes with their broker to arbitration. This page offers factors to consider for...

Securities dispute resolution: Deliberation, awards, and fees.

After hearings are concluded, the arbitrator or panel of arbitrators retires to deliberate and issue a decision in the form of a written document called an “award.” The length of deliberations depends on a number of factors, including the number of...

Securities dispute resolution: Experts

Experts can offer their opinions on a variety of issues such as the management of the account and calculation of profits.

Experts can provide necessary information to support claims made by either the claimant or the respondent. The decision to...

Securities dispute resolution: Filing a complaint

Once the decision is made to pursue arbitration, a claimant must prepare a Statement of Claim. This document must be filed with the Financial Industry Regulatory Authority (FINRA). The Statement of Claim sets forth the types of claims being made and...

Securities dispute resolution: Hearings

HEARINGS

Arbitration hearings are the equivalent of a courtroom trial, but less formal. During hearings, all the parties meet to hear the case and present supporting evidence. Usually, hearings begin with a brief statement by the panel, followed...

Securities dispute resolution: Selecting arbitrators

Arbitration Panel Size
An arbitration panel consists of either one or three arbitrators. The Financial Industry Regulatory Authority (FINRA) provides that the number of arbitrators shall depend on the amount in controversy. Where the amount of a...

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