Arbitration of customer disputes under FINRA
By Scott Carfello
Business and Securities Law,
April 2015
An overview of the Financial Industry Regulatory Authority, its arbitration rules, and a look at how it differs from other arbitration providers.
A new option for resolving investment fraud disputes
By Laurence M. Landsman
Business and Securities Law,
July 2013
This article provides the analytical framework for deciding whether to arbitrate a securities dispute involving a registered investment advisor within the FINRA Dispute Resolution process rather than file a lawsuit and litigate the claims in court.
Select a Different Subject
