Law Advice

How to Resolve a Broker Dispute

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FAQs

What documents should I save to use if a dispute arises?
Will I have any choice about where to arbitrate?
The stock my broker sold me in an initial public offering went to zero after the sec accused the company of fraud. What are my options?
Are there small claims procedures in securities arbitration?
Who will serve as the arbitrators?
How am I notified of the arbitration decision?
I believe my broker acted wrongfully in handling my account. How do I resolve my problem?
With an hour to close, I instructed my broker to sell everything in my IRA account, go into cash, and send me a check. My instructions were not followed. What recourse do I have?

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