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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!

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