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Securities Dispute Resolution

Securities dispute resolution refers to the processes and mechanisms used to resolve conflicts and disputes arising from securities transactions, investments, and related activities. These disputes often involve issues such as fraud,...

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...

Securities Dispute Resolution: Discovery

The discovery process is the phase in which both parties research and investigate the facts and events that gave rise to the claim. During the discovery phase, parties will have access to information that was inaccessible to them before....

Securities Dispute Resolution: Enforcing Awards

When investors are granted awards in FINRA arbitration, they must be paid within thirty days unless the opposing party files a motion to vacate the award in a court. Because FINRA has authority to suspend brokerage firms or licensed brokers...

Securities Dispute Resolution: Filing a Complaint

There are several alternatives for helping investors resolve a dispute with a securities firm, a financial services professional, or another business. Once the decision is made to pursue arbitration a claimant must prepare a Statement of...

Securities Dispute Resolution: Hearings

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

Securities Dispute Resolution: Response

After the complaining party, or claimant, files a Statement of Claim and pays the required fees, the opposing party, or respondent, is served with the Statement of Claim, and a cover letter explaining the arbitration process and setting a...

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...

Securities Exchange Act of 1934

The Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market. As such, the 1934 Act typically governs transactions which take place between parties which are...

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