http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/index.html LawInfo - Legal Resource Center offers free legal forms and free legal documents that is designed to help consumers and businesses resolve their legal issues http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/are-companies-required-to-inform-stockholders.html 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 concerning litigation that is considered routine to their business. They must do so for mergers or acquisitions. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/can-i-get-information-concerning-the-secs-on.html 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 policy is exists to protect innocent individuals and companies, and to prevent the tipping­off of those under investigation. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/is-it-possible-to-obtain-the-results-of-an-se.html 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 the SEC. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/is-it-possible-to-find-out-if-there-have-been.html 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. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/what-is-the-difference-between-court-and-arbi.html 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. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/who-decides-whether-the-case-is-litigated-in.html Many brokerage account agreements contain an arbitration clause requiring that any future disputes be resolved through arbitration rather than litigation. While arbitration is an effective, often advantageous, method of resolving a dispute, signing an agreement may mean that arbitration is the only forum other than mediation available to you. Even without signing an arbitration agreement, you would still have the right to seek arbitration of disputes as an option under most securities industry rules. The two most popular forums are the NYSE and NASD. If an arbitration agreement was not signed the customer might have the option to litigate in the courts or by arbitration. An arbitration panel hears the majority of cases. Arbitration FAQs Mon, 04 Jun 2007 21:51:22 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/how-does-arbitration-work.html 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 arbitrators generally include at least one person with extensive securities knowledge and can also include accountants, attorneys, sales representatives, bankers, educators, retired judges and other professionals. Unlike court proceedings, arbitration usually doesn't involve lengthy oral depositions, motions, or appeals. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/who-conducts-the-arbitration-proceedings.html 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. Arbitration FAQs Tue, 29 May 2007 21:19:00 GMT http://resources.lawinfo.com/en/Legal-FAQs/Obtaining-Information-on-Legal-Actions-and-the-Pros-and-Cons-of-Arbitration-vs-Court/Federal/is-a-lawyer-required-for-arbitration.html 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 of lawyers working for them in their legal departments. The brokerage company and broker may often also retain an outside law firm to vigorously defend their interests. If you appear without legal counsel you will find yourself at a severe disadvantage and by the legal representation of the opposition. A customer should consider retaining a qualified attorney or at least consult with an attorney prior to the filing of the claim. Since arbitration is binding and final, it will be too late for an investor to go to a lawyer after losing the arbitration, even if he failed to assert important points as a result of an ineffective effort to represent himself. 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