Mediation is an alternative dispute resolution method with a neutral person helping the parties find a solution to their dispute. The neutral party is known as a mediator. Mediation may also be called case evaluation or facilitated...
alternative dispute resolution
mediator
A mediator is a neutral third party that leads a mediation between parties as a form of alternative dispute resolution. A mediator’s goal is to encourage collaboration between the parties and guide them to a settlement through the mediation...
minitrial
A minitrial is an alternative dispute resolution method with attorneys on each side presenting their case as they would at an actual trial. Minitrials are private, voluntary events attended by representatives from each side who have authority...
ombuds
An organizational ombuds is an individual who serves as a neutral party representative within an organization who provides conflict resolution and problem-solving services to members of the organization (internal ombuds) and/or for clients or...
out of court
Out of court means “not before the court.” Actions, including negotiations between parties or their attorneys, without any direct involvement of a judge or the judicial system. For example, a settlement between the parties made out of court...
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...