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 Commentary

Comments on GAO Employment Arbitration Report

    ]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives Dingell and Markey Comments on GAO Report Urge Changes in Employment Arbitration Mandatory Arbitration Criticized; Arbitrator Qualifications and Ratings Questioned In a letter to SEC Chairman William H. Donaldson and to the two SRO […]

Arbitration Brokers

Forcing Customer to Waive Rights Permits Court Filing

Linden vs. American Express Financial Advisors – since forcing Claimant to give up her rights under California law, court vacates order compelling arbitration. Linden v. American Express Financial Advisors, Inc., No. CIV 205839 (Cal. Super. Ct., Ventura Cty., 9/25/02). Agreement to Arbitrate * Enforceability * Equitable Doctrine (Impossibility; Impracticality; Unconscionability). […]

Arbitration News

Appeal Does Not Extent Time to Pay Arbitration Award

  A non-summary suspension proceeding for non-payment of an Award recently concluded with the suspension of a broker–dealer who is currently challenging the Award before the Ninth Circuit. Baraban Securities, nka Interfirst Capital Corporation, was held liable by a Portland-based Arbitration Panel for $53,400 in compensatory damages in February 2000 […]

Arbitration

Fifth Circuit Discusses Appealability and Costs

American Heritage Life Ins. Co. vs. Orr, No. 01-60678 (5th Cir, 6/16/02) Consolidated appeals of orders compelling arbitration produce an appellate Opinion on two issues of importance in arbitration: appealability and forum costs. Appealability: In the action below, the district court decided a motion to compel arbitration in an independent […]