Archives: October 2017

INITIATING A FINRA ARBITRATION FOR INVESTORS (PART 2 IN A SERIES)

On behalf of Girard Bengali, APC posted in arbitration on Monday, October 23, 2017. As we noted in a prior post, almost all securities-related disputes end up in front of a FINRA Dispute Resolution, Inc. ("FINRA") arbitration panel. See Intro to FINRA arbitration for investors As the regulator for the securities industry, FINRA requires broker-dealer firms and their securities professionals to register...

Tags: arbitration, Finra, sexual assault

INTRODUCTION TO FINRA ARBITRATION FOR INVESTORS (PART 1 OF A SERIES)

On behalf of Girard Bengali, APC posted in securities arbitration and litigation on Monday, October 2, 2017. Arbitration is a form of dispute resolution frequently used as an alternative to a traditional lawsuit. Instead of a judge or jury deciding the matter, one or more arbitrators are selected as neutral third parties to decide the dispute. The arbitrators read...

Tags: arbitration, Finra, girard bengali