The Securities and Exchange Commission (SEC) is a federal administrative agency tasked with monitoring markets, enforcing securities laws, and developing new regulations. Congress established the SEC in the Securities Exchange Act of 1934,...
securities
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: Experts
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...
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...