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Category: Arbitration

Arbitration

Securities arbitration refers to the alternative dispute resolution process to resolve claims between broker firms and their customers and employees. FINRA operates the largest arbitration forum in the United States for the resolution of these disputes.

While no one can be forced to give up their rights to a trial in court, virtually all agreements between investors and their stockbrokers include mandatory arbitration agreements, and every registered stock broker is required to arbitrate their disputes with their customers and firms.

Our site has been providing information regarding securities arbitration since 1995, starting with Overview of the Securities Arbitration Process. We update the site on a regular basis and invite you to explore our commentary and links, and to ask questions.

Commentary, links and more regarding securities arbitration

FINRA Discovery Guide

Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might…

Churned or Traded?

The common perception among the general public is that a customer who trades his or her account on a regular…

Overview of the Securities Arbitration Process

Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has…

Hearing Hearing 

Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some…

Insight into the FINRA Arbitrator Selection Process

Arbitrator selection has always been one of the most important parts of the arbitration process, and FINRA has strived over…

Brokers Can Win Promissory Note Cases

We all know that defending promissory note cases for brokers is difficult. After all, those notes have been written, revised,…

Typical Customer Arbitration Claims

There are thousands of complaints filed every year, and they fall into categories. UPDATED FEBRUARY 2, 2017. The trial of…

Avoiding Customer Disputes

You can take steps to avoid being sued by your customers. By Mark J. Astarita, Esq. Introduction Since the United…

Arbitrator Code of Ethics Revamped

ABA and AAA Task Force Provide Working Draft of New Ethics Code This four-year effort by a joint task force…

FINRA Arbitration Forms

Scheduling Order (PDF format 86 KB) The panel Chairperson has the responsibility to use the Scheduling Order to record the…