Tag: Consumer Financial Protection Bureau

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,  seclaw.com/glossary/finra/” class=”glossaryLink” data-cmtooltip=”

FINRA
The Financial Industry Regulatory Authority, the primary regulator for United States stock brokers and brokerage firms. For more information see our article, FINRA – The Financial Industry(…)

” >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 […]