Who is eligible to pursue a securities arbitration claim?

In Kansas, individuals who have been wronged by a brokerage firm, brokerage firm employees, or other individuals employed in the securities industry may be eligible to pursue a securities arbitration claim. Generally speaking, anyone who has suffered financial losses due to broker negligence, fraud, or misrepresentation may be eligible to pursue a claim. Additionally, customers of a broker-dealer who has been accused of selling unregistered securities or engaging in another form of securities fraud may also be eligible to pursue a claim. Individual investors also may be eligible to pursue a securities arbitration claim in certain cases, such as those involving excessive trading, unsuitable investment advice, or failure to adequately disclose risks associated with certain securities. Eligible claimants may also include those who have suffered reputational or other intangible losses due to a securities-related violation. In order to pursue a securities arbitration claim in Kansas, individuals must complete an arbitration agreement with the Financial Industry Regulatory Authority (FINRA). This agreement requires that disputes be handled by a neutral third party who will render a binding decision. In some cases, claimants may also receive a cash award or have their losses reduced.

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Who is eligible to pursue a securities arbitration claim?

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