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

Punitive Damages in Arbitration

The issue of whether arbitrators should be permitted to award punitive damages in arbitration has been a hot issue in securities arbitration since the dawn of securities arbitration. In some states most notably New York, where the vast majority of arbitrations are held — the law always prohibited arbitrators from […]

Arbitration

NASD Gets Tough On Discovery

NASD Gets Tough on Discovery A warning to firms and customers. Discovery issues have always been a hot topic in all litigation matters, and arbitration is no different. Parties continually complain that the other side is not producing documents, and while the dispute is often caused by an unreasonable demand, […]

Arbitration Brokers

Fight Back Revisited

A recurring problem in civil litigation is the filing of claims by plaintiffs which lack merit, or are which are filed for purposes other than to address a grievance or a wrong. The problem is particularly acute in the securities arbitration arena, where in addition to the cost, expense and […]

Arbitration Brokers

Fighting Back

A recurring problem in civil litigation is the filing of claims by plaintiffs which lack merit, or are which are filed for purposes other than to address a grievance or a wrong. The problem is particularly acute in the securities arbitration arena, where in addition to the cost, expense and […]

Arbitration

Securities Arbitration

Guide To Securities Arbitration When you finish reviewing the sites of “consultants” who want to help you sue your broker, visit the real securities law site – The Securities Law Home Page. Written, maintained and supervised by a Wall Street securities attorney, you will get straight information  on the law […]

Arbitration Brokers

Rogue Customers

Customers who abuse the system, and harm their brokers. By Mark J. Astarita, Esq. These days, it seems that every major publication, and every television news show, has done, or is doing, a story on “rogue brokers” – brokers who care nothing about their customers, or their firms, or the […]

Arbitration

Arbitrator Refusal to Hear Evidence

Refusal to Hear Evidence is Misconduct Only if Prejudice to Fair Hearing Results Woodley vs. Auerbach, Pollack & Richardson, Inc., Case NO 01-8489-CIV (SD Fla. 11-14/01) Woodley v. Auerbach, Pollak & Richardson, Inc., Case No. 01-8489-CIV-Middlebrooks (S.D. Fla., 11/14/01): An Arbitrator’s refusal to hear “pertinent and material” evidence constitutes misconduct […]

Arbitration News

Arbitrator Disclosure Report Released

    ]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives Arbitrator Disclosure Report Released SEC Commissioned Independent Study Recommends Against Use of California Disclosure Rules PERINO REPORT RELEASED BY SEC: The November 13, 2002 SEC News Digest summarizes the findings and recommendations of a […]

Arbitration Hearing
Arbitration

Hearing Hearing

By Mark Astarita, Esq. Past columns have touched on the arbitration hearing itself and have raised the question just what happens during an arbitration hearing. It seems that there are a wide variety of ideas on just how those proceedings take place, and there is a substantial misconception regarding the […]