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 Investors

Securities Arbitration Attorney – FINRA Arbitration

Since the virtual dawn of securities arbitration in the early 1980s, the attorneys at Sallah Astarita & Cox, LLC have provided nationwide representation to investors and financial professionals in securities arbitrations. Mark J. Astarita, Esq. is a nationally recognized securities arbitration attorney, who has represented parties in over 500 securities […]

Arbitration

Eligibility of Old Claims – Who Decides?

PLEASE NOTE: THE LAW IS AREA HAS CHANGED. WE PRESENT THIS ARTICLE FOR HISTORIC PURPOSES. RETAIN A SECURITIES ATTORNEY TO PROPERLY ADVISE YOU ON ELIGIBILITY ISSUES. Introduction While nearly every brokerage firm customer has an arbitration agreement with his brokerage firm to arbitrate his disputes, a significant issue of law […]

Arbitration Information Center

Securities Arbitration Information Center

Featured Articles Introduction to Securities Arbitration – The ultimate primer on securities arbitration, authored by Mark J. Astarita, Esq., a New York securities attorney who has represented parties to securities arbitrations in virtually every major city for 20 years. An excellent introduction to the process. Featured Books Securities Regulation in a Nutshell – This […]

Arbitration News

SEC Approves Injunctive Relief Rule

New Mechanism for Resolution of Raiding Disputes Approved Rule 10335 makes permanent, with some significant modifications, a formal mechanism for the resolution of raiding disputes, under a NASD Rule approved by the Securities and Exchange Commission. Former Rule 10335, designed as a one-year pilot in 1996 and taken out of […]