Who Conducts The Arbitration Proceedings?
The three main forums for resolving securities arbitration disputes are; The American Arbitration Association, The New York Stock Exchange and The National Association of Securities Dealers, Inc. The arbitration clause in your new account form with your broker may include the names of these organizations, and will often give you the option of choosing which one you will use.
Other Arbitration FAQs
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Q:
Are Companies Required To Inform Stockholders Of Their Involvement In A Lawsuit?
A: Companies are only required to report legal proceedings in their registration statement, quarterly report, and annual report. They do not have to make special reports … More -
Q:
Can I Get Information Concerning The Secs Ongoing Investigation Of A Public Company?
A: The SEC has a policy of maintaining confidentiality about any details of its investigations until the cases are filed with the courts or a similar judicial body. This … More -
Q:
Is It Possible To Obtain The Results Of An Sec Investigation?
A: You can only find out which companies or individuals have been charged with an offense, and this information may be obtained from the Enforcement Actions Section of … More -
Q:
Is It Possible To Find Out If There Have Been Complaints Filed With The Sec About A Particular Company?
A: Yes, the Enforcement Actions Section of the SEC provides this information, and you can often get similar information by way of the Freedom of Information Act. -
Q:
What Is The Difference Between Court And Arbitration?
A: In an arbitration proceeding there are no juries and the rules of evidence do not apply. Arbitration is usually faster and less costly then litigation in a court setting. -
Q:
Who Decides Whether The Case Is Litigated In Court Or Arbitration?
A: Many brokerage account agreements contain an arbitration clause requiring that any future disputes be resolved through arbitration rather than litigation. While … More -
Q:
How Does Arbitration Work?
A: In arbitration, a panel of one to three arbitrators hears and weighs the arguments and evidence of both sides of a case, then renders a binding decision. The … More -
Q:
Is A Lawyer Required For Arbitration?
A: There is no requirement for you to be represented by an attorney in the arbitration. But you should realize that the large brokerage company would typically have teams … More
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