Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some of the formalities. There are opening statements, first by the attorney for the claimant (typically a customer) and then by the respondents (the broker and/or his firm). The openings are […]
A Look Inside a Securities Arbitration Hearing 2023
Just What Happens at an Arbitration? By Mark J. Astarita, Esq. Past columns have touched on arbitration hearings, and have raised the question of just what happens during an arbitration hearing. There is apparently significant misconceptions about the hearing process. Hopefully I can clear some of this up, and provide […]
What Happens at a FINRA Arbitration 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 […]