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

Securities arbitration is a process that is used to settle disputes that involve investments or securities. In Washington State, the Washington Department of Financial Institutions (DFI) handles securities arbitration cases. There are various types of claims that can be brought in a securities arbitration. First, claims may be brought against brokerage firms if they provide poor advice, fail to execute trades properly, mishandle investments, provide misleading or false information, or otherwise violate their duty of care. Secondly, claims may be brought for unauthorized trading or fraud by a broker. Thirdly, claims may be brought against an issuer or company if they misrepresent the terms of their offerings or products or violate securities-related laws such as the Securities Act of 1933 and the Securities Exchange Act of 1934. Fourthly, claims may be brought against a broker-dealer or investment advisor if they fail to disclose potential risks and conflicts of interest to their customers. Fifthly, claims may be brought if the broker or other party did not follow the customer’s instructions or violated the customer’s agreement with the broker or other party. Additionally, claims may be brought against a broker or other party for failing to adequately protect customer assets. Securities arbitration is a way for investors to quickly and efficiently resolve disputes, obtain compensation for losses, and ensure that their rights are secured. As Washington’s securities arbitration process is administered by the DFI, all claims must be filed with the DFI. It is important for investors to have a thorough understanding of their legal rights and their options before filing a claim.

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

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