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

A securities arbitration is a legal process in North Carolina in which an investor (the claimant) and a broker-dealer (the respondent) may bring claims against each other for disputes related to securities investments. The types of claims that can be brought in a securities arbitration vary depending on the particular facts of the case. However, the following are some of the more common claims that can be brought in a securities arbitration: 1. Unsuitable Investments: The claimant may allege that the broker-dealer recommended unsuitable investments for the claimant, or that the broker-dealer failed to adequately explain the risks associated with the investments. 2. Misrepresentation: The claimant may allege that the broker-dealer made a false or misleading statement or omitted a material fact in connection with the sale of a security or the delivery of a financial product. 3. Fraud: The claimant may allege that the broker-dealer engaged in fraud by purposefully misleading the claimant or taking advantage of the claimant’s ignorance of the market. 4. Negligence: The claimant may allege that the broker-dealer failed to exercise reasonable care or acted negligently when providing financial advice or handling the claimant’s investments. 5. Breach of Contract: The claimant may allege that the broker-dealer violated the terms and conditions of a written or verbal agreement between the parties. In addition to these types of claims, a claimant may also bring other claims related to their securities investments. It is important to note that a party may bring a claim in a securities arbitration even if the claim is not listed above. It is also important to note that the statute of limitations for bringing a claim in a securities arbitration may vary depending on the type of claim and the applicable law.

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

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