securities

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 law

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.

• securities law

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

Experts can also provide necessary information to support claims made by either a claimant or respondent. The decision to hire an expert depends on a number of factors including:

• securities law

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 Claim. This document must be filed with the Financial Industry Regulatory Authority (FINRA).

• securities law

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.

• securities law

After the panel is appointed, an Initial Prehearing Conference is scheduled.

• securities law

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 time for reply to the claim.

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 claim is $50,000 or less, the panel shall consist of one arbit

• securities law

The Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market.

• securities law
• Securities Exchange Act of 1934
• SECURITIES FRAUD
• SECURITIES LITIGATION UNIFORM STANDARDS ACT
• Private Securities Litigation Reform Act
• securities litigation

Securities fraud is the misrepresentation or omission of information to induce investors into trading securities. 

• securities law