Arbitration FAQs

• 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: Who Conducts The Arbitration Proceedings?
  A: The three main forums for resolving securities arbitration disputes are; The American Arbitration Association, The New York Stock Exchange and The National Association … 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