Arbitration FAQs

• Q: What Is Arbitration?
  A: Arbitration is referral of a dispute to one or more impartial persons (non­parties) for final and binding determination (resolution). When the decision is binding, … More
• Q: What Is Mediation?
  A: Mediation is negotiation carried out with the help of a trained facilitator. Two or more parties meet with a neutral third party, who guides the negotiation process … More
• 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 SEC's 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: How Do We Get To Mediation?
  A: The mediation process is usually voluntary ­ the parties in a dispute come to an independent agreement to try to work things out with the help of a mediator. … More
• Q: Why Use Arbitration Instead Of Going To Court ("litigation")?
  A: The American Bar Association estimates that as many as 100 million Americans are shut out of the legal system due to the high cost of justice. In a 1999 survey, the … More
• Q: How Do You Apply For Arbitration?
  A: Typically, to begin an arbitration, one party completes an arbitration claim form, files it with the arbitration administrator and pays and a filing fee, if any. The … More
• Q: How Much Time Is Required To Schedule A Mediation?
  A: Generally speaking, the parties themselves determine the scheduling of mediation, unlike in the court system where the "court docket" and relevant court rules define … 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. More