Tag: Securities Arbitration

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 […]

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 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 […]