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Arbitration
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Securities Industry


FAQs

How am I notified of the arbitration decision?

Are employment disputes covered by arbitration in the securities industry?

What if I have not been given the necessary disclosures or what if trades in my account have not been handled or executed properly?

Can I sue the broker?

Will I have any choice about where to arbitrate?

What are the most common reasons customer claims are denied in arbitration?

Are there ‘small claims’ procedures in securities arbitration?

Do I need a lawyer in brokerage dispute arbitration?

Who will serve as the arbitrators?



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