ABTrainingCenter.com provides CE (continuing education), professional development, and NASD and insurance licensing and designation study courses such as Series 7, CFP, CLU, and CPCU designations for brokers, agents, and financial service providers

Arbitration, Dispute Resolution, Mediation

Although most business in the securities industry is completed without problems, disputes and controversies occasionally arise.

When investors lose money in the securities markets, Financial Advisors may be justly or unjustly accused formally of having responsibility for these failed investment recommendations. These Advisors and their firms are required to defend their actions, and this case is brought before an Arbitration hearing (also known as a Dispute Resolution hearing or Mediation).

Consider some common reasons cited for arbitration:

  • Suitability
  • Churning
  • Unauthorized Trading
  • Breach of Fiduciary Duty
  • Misrepresentation
  • Stop/Limit/Market Orders
  • Annuities
  • Mutual Funds
  • …Just to name a few.
If you are an Advisor who has been named in an arbitration case, or simply would like to learn more about arbitration or dispute resolution training or services, let VendorPedia help you with additional arbitration resources!

Find Self-Study, Online, Or Classroom Courses In Your Area
Licensing
Earn your License quickly and easily!
Designations/Certifications
Improve your knowledge and industry standing!
Professional Development
Products & Services to help manage and grow your career!







Need training or resources in other areas? Try our other Training Center sites:

HR, Acct., Banking, Insurance, Fin. Svcs., Real Estate, Mortgage, HealthCare, Safety, Sales

Share on Facebook


Share on Twitter


Share on Google+

Securities Licensing
Securities Licensing

Insurance License
Insurance License

Adjuster Licensing
Adjuster Licensing

Texas All-Lines Adjuster Pre-Licensing ONLINE Course
Texas All-Lines Adjuster Pre-Licensing ONLINE Course

Workers′ Comp Training Seminar
Workers′ Comp Training Seminar

How Workers′ Compensation Works (Comprehensive 11-Module Course)
How Workers′ Compensation Works (Comprehensive 11-Module Course)

How To Read And Understand Financial Statements
How To Read And Understand Financial Statements

ARM
ARM

Associate in General Insurance (AINS)
Associate in General Insurance (AINS)

Associate in Premium Auditing (APA)
Associate in Premium Auditing (APA)

Retirement Plan Training
Retirement Plan Training

Surplus Lines Online Exam Prep Course
Surplus Lines Online Exam Prep Course

Business Writing for Results
Business Writing for Results

FMLA Training &Certification Program
FMLA Training &Certification Program

Certified Annuity Specialist (CAS)
Certified Annuity Specialist (CAS)

Wrap Legal Documents for Section 125/HSA/HRA Kit
Wrap Legal Documents for Section 125/HSA/HRA Kit

Google+ABTrainingCenter.com. 5755 North Point Parkway, Suite 228 | Alpharetta, GA 30022 | 770-410-9375 | support@ABTrainingCenter.com
Copyright ABTrainingCenter.com 2017 | Web Site Development by OTAU
Facebook