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.

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Arbitration

Court Orders Arbitration of Coin Offering Claims

A California federal judge has sided with the issuers of a gaming-related initial coin offering, saying that despite arguments from purchasers of the WAX digital currency to the contrary there is a valid arbitration agreement and the case will be stayed pending arbitration. Read more at: https://www.law360.com/securities/articles/1301386/crypto-investors-case-against-gaming-co-must-be-arbitrated

Arbitration Primer

What is Securities Arbitration?

Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970’s,  FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage […]

Churning
Arbitration Investors

GPB Capital Investigations Heat Up

With losses approaching 70% for some investors, sitting on the sidelines, waiting for the funds to turn around is apparently not working for investors in the GPB Capital funds, and the situation is not getting better. While investors are filing arbitrations to recover their losses in GPB Capital, and investigations […]

Arbitration Brokers

UBS Ordered to Pay Broker $1.6 Million

A former star broker for UBS Financial Services Inc. who was repeatedly called a “bitch” by her boss won a $1.6 million discrimination arbitration award last month. According to InvestmentNews.com, the broker, Chrisine Carona, worked for UBS in Boston from March 2009 through July 2017 and currently is employed by Morgan Stanley. She was […]

Arbitration

FINRA Discovery Guide

Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might possibly have any bearing on any issue in the case, and defendants don’t want to produce a single document. The courts and arbitration panels spend a significant amount of time […]