What types of claims can be brought in a securities arbitration?

In Indiana, securities arbitration is a form of dispute resolution in which two parties bring their case to a neutral third party called an arbitrator. The arbitrator is usually an expert in the area of securities law and makes a binding decision after weighing the evidence presented by both sides. There are many types of claims that can be brought in a securities arbitration. Common claims include wrongful conduct by a financial advisor, negligence, misrepresentation, unauthorized trading, failure to diversify, and violation of the anti-fraud laws. In some cases, a claim can be brought against a broker-dealer for wrongful termination or employment discrimination. In addition, investors can bring a claim against a company or its officers for misrepresenting or failing to disclose material facts related to investments, as well as for insider trading. There are also claims that can be brought when a company has failed to maintain adequate internal controls and operate its business ethically. Finally, an investor may bring a claim against a broker-dealer for failure to properly explain the terms and conditions of an investment. Investors may also file a claim if the broker-dealer does not properly use customer funds or if they fail to properly monitor customer accounts. Overall, a wide variety of claims can be brought in securities arbitration in Indiana. By bringing such claims to an arbitrator, investors can seek justice and financial compensation for the wrongs committed against them.

Related FAQs

What evidence is needed to prove a securities arbitration claim?
How are the costs of securities arbitration disputes divided?
Do victims of securities fraud have the right to a jury trial?
What is the role of the FINRA arbitration department?
Are there any special rules for discovery in a securities arbitration case?
What types of damages can be awarded in a securities arbitration case?
What is the difference between an arbitration hearing and a regular court hearing?
How do I prepare for a securities arbitration hearing?
What types of legal issues can be addressed through securities arbitration?
What is securities arbitration law?

What types of claims can be brought in a securities arbitration?

Related FAQs

Related Blog Posts