There are several alternatives for helping investors resolve a dispute with a securities firm, a financial services professional, or another business. Once the decision is made to pursue arbitration a claimant must prepare a Statement of...
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Securities Dispute Resolution: Hearings
Arbitration hearings are the equivalent of a courtroom trial, but less formal. During hearings, all parties meet to hear the case and to present supporting evidence. Usually, hearings begin with a brief statement by the panel, followed by...
Securities Dispute Resolution: Prehearing
After the panel is appointed, an Initial Prehearing Conference is scheduled. During this prehearing meeting, the panel will set discovery, briefing and deadlines, schedule subsequent hearing sessions, and address other preliminary matters...
Securities Dispute Resolution: Response
After the complaining party, or claimant, files a Statement of Claim and pays the required fees, the opposing party, or respondent, is served with the Statement of Claim, and a cover letter explaining the arbitration process and setting a...
Securities Dispute Resolution: Selecting Arbitrators
An arbitration panel consists of either one or three arbitrators. The Financial Industry Regulatory Authority (FINRA) provides that the number of arbitrators shall depend on the amount in controversy. Where the...
Securities Exchange Act of 1934
The Securities and Exchange Act of 1934 ("1934 Act," or "Exchange Act") primarily regulates transactions of securities in the secondary market. As such, the 1934 Act typically governs transactions which take place between parties which are...
securities fraud
Securities fraud is the misrepresentation or omission of information to induce investors into trading securities.
OverviewWhile always actionable under common law fraud, Congress, the Securities and Exchange Commission (...
securities law history
The development of federal securities law was spurred by the stock market crash of 1929, and the resulting Great Depression. In the period leading up to the stock market crash, companies issued stock and...
security
Security refers to a broad type of investments with risks that are regulated under securities law. Securities exist in numerous forms including: notes, stocks, treasury stocks, bonds, and certificates of interest or...
security interest
Security interest is interest in someone else's property, created by contract or by law. A mortgage is one type of security interest created by contract. A garnishment is one type of security interest created by law.
See...