Trying the most complex issues
for over 30 years.

Trying the most complex issues for over 30 years.

Resolving securities disputes outside of court

On Behalf of | Mar 30, 2023 | Securities Arbitration

Investments involve risk, and you know that before you put your money on the line. Given the information at your disposal, you make the best choices you can in hopes of a substantial return.

Involving a stockbroker or brokerage firm to guide your investment process can help protect your interests – or at least it should. But what can you do if they mismanage your money?

Securities arbitration at a glance

You have the right to explore your legal options if you are on the losing end of financial malfeasance. Litigation may be a possibility. However, there are other ways for you to resolve a securities dispute.

The contract with your broker may specify that you’ll arbitrate claims against them. An arbitration hearing will likely lead to a legally binding decision.

How could arbitration help your case?

Time and money are two benefits of arbitration. Rather than participating in an extensive trial, this form of alternative dispute resolution wraps up cases quickly.

A jury must be assembled and taught about securities terminology and industry practices before a trial begins. On the other hand, arbitrators come to the table with an understanding of securities laws.

The arbitrator’s knowledge helps resolve these matters in a more timely manner than going through litigation. As such, the shorter timeframe involved may make arbitration a less expensive way to seek justice.

If you feel like you suffered a monetary loss, it’s important to determine whether it stemmed from market fluctuation or a breach of fiduciary duty. Determining the root cause of your situation is the first step toward protecting your interests.