Tag: Federal Arbitration Act

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=”

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 […]


FAA Preempts State Arbitration Code

    ]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives FAA Preempts State Code Unless Arbitration Clause Incorporates the Code. Arbitration therefore mandatory for signatories and third party beneficiaries Nyko v. First Union Securities, Inc., B150211 (Cal. App., 2Dist., 2/7/02). Appealability * Arbitrability * […]