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Securities Arbitration ForumsEach of the stock exchanges offer arbitration forums, as does the National Association of Securities Dealers, Inc. and the American Arbitration Association. The ability to utilize the arbitration process is granted by contract, and the agreement under which disputes are arbitrated often contain forum clauses, designating which arbitration forum will hear the dispute. Additionally, by virtue of their membership in the various organizations, securities professionals and their firms have agreed to arbitrate disputes against them at their member organization. Since every stock broker and every brokerage firm is a member of the National Association of Securities Dealers, and are bound by the rules of the NASD to arbitrate their disputes at the NASD, the NASD is the largest arbitration forum, handling over 6,000 arbitrations a year. Information packets are available from each of the arbitration forums regarding the scope of the forum, the types of disputes that can be arbitrated at the specific forum, and procedures for arbitrating disputes.
Last Updated July 7, 2007 The National Association of Securities Dealers, Inc. Office of Dispute Resolution 125 Broad Street. New York, New York 10005 212-858-4400 The New York Stock Exchange
The American Stock Exchange
American Arbitration Association
Boston Stock Exchange, Inc. Chicago Board Options Exchange, Inc. Cincinnati Stock Exchange,
Inc Midwest Stock Exchange, Inc. Municipal Securities Rulemaking Board Pacific Stock Exchange Philadelphia
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Copyright 2007. VGIS Communications LLC. All Rights Reserved. VGIS Communications, LLC - 41 Watchung Plaza, Suite 249, Montclair, New Jersey 07042 - 973-509-7333. Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Beam & Astarita, LLC, who represents financial professionals in a wide variety of matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com. Visit Beam & Astarita, LLC |