What types of claims can be brought in a securities arbitration?
Securities arbitration is a system of dispute resolution for disputes related to investment products, such as stocks, bonds, mutual funds, commodities, and so on. Although securities arbitration is similar to a lawsuit, it is usually a faster, less expensive, more informal process. In Kansas, securities arbitration claims can be brought by investors who have suffered a financial loss due to fraud, negligence, misrepresentation or breach of fiduciary duty by a stockbroker or investment advisor. Other types of claims that can be brought in securities arbitration in Kansas are those related to unsuitable investments, churning of accounts, unauthorized trading, or failure to execute an order. Securities arbitration claims can also arise from conflicts related to options and other derivatives. If an investor believes that he or she was given incorrect or incomplete information about an investment product, or that a broker failed to disclose all relevant risks and rewards, a claim may also be brought in securities arbitration. In Kansas, securities arbitration claims may involve claims for compensatory damages, disgorgement of profits, punitive damages and other remedies along with the costs of arbitration. The decision or award rendered by the arbitrator is legally binding and enforceable in a court of law.
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