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Litigation - Arbitration - General Questions

FAQs

How can I avoid being taken advantage of in dealing with financial services companies?
I know I was taken advantage of.... What should I do?
If the sec, nasd or stock exchange do not help me, what should I do?
Can I sue the broker?
Will I have any choice about where to arbitrate?
What documents should I save to use if a dispute arises?
What are the most common reasons customer claims are denied in arbitration?
I think the broker made far too many trades for my account. Is there anything I can do?
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?
My dishonest small broker ‘cleared’ through a large reputable broker. Does the large broker have any responsibility to me?
Are there ‘small claims’ procedures in securities arbitration?
Do I need a lawyer in brokerage dispute arbitration?
Who will serve as the arbitrators?
How am I notified of the arbitration decision?
Are employment disputes covered by arbitration in the securities industry?
What are investors’ typical claims against brokers?
I believe my broker acted wrongfully in handling my account. How do I resolve my problem?
Can I complain to any government or stock exchange or nasd officials?
How do I find out whether an investment advisor has ever had problems with a government regulator or has been disciplined?

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