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,...
money and financial problems
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: 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: 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: Prehearing
After the panel is appointed, an Initial Prehearing Conference is scheduled. During this prehearing meeting, the panel will set discovery, briefing and deadlines, schedule subsequent hearing sessions, and address other preliminary matters...
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 fraud
Securities fraud is the misrepresentation or omission of information to induce investors into trading securities.
OverviewWhile always actionable under common law fraud, Congress, the Securities and Exchange Commission (...
security
Security: An Overview
Security refers to a broad type of investments with risks that are regulated under securities law. Securities exist in numerous forms including: notes, stocks, treasury stocks, bonds, and certificates of interest or...