Frequently Asked Questions
What is Securities Arbitration?
Securities arbitration is the process by which customer disputes are resolved with respect to the
investments they made through Registered Representatives of the securities industry or their employing
Broker/Dealer firms. Arbitration takes place in one of the forums indicated in the pre-dispute arbitration
agreement. The New York Stock Exchange and the Financial Industry Regulatory Authority are the most
common arbitration forums.
Can I go to court instead of Arbitration?
The majority of public investors sign a pre-dispute arbitration clause prior to making any investments
under which an investor's their right to pursue their claim through the courts is waived.
Don't I need an Attorney to represent me?
Except for a few exceptions, you do not need a lawyer to represent you in arbitration. Most of the time an
investor is better served by hiring an industry expert to present their case.
How much do you charge?
We do not charge for initial consultations or case evaluations. If we decide to accept your case, we will
work on a contingency basis under which our fees are deducted from any award or settlement we are able
to secure for you. You will not be responsible for any costs or fees unless we are successful in recovering
money for you.
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