Do securities arbitration decisions become public records?

No, the majority of securities arbitration decisions do not become public records in Oregon, or in any other state. This is because securities arbitrations are generally confidential proceedings. Not only are the records of the proceedings kept confidential, but any awards or settlements that may result from the proceedings are also kept confidential. Securities arbitration in Oregon is regulated by the Oregon Department of Financial Regulation. The Oregon securities laws give investors the right to arbitration to resolve disputes with their broker-dealers or investment advisors. When a case goes to arbitration, the proceedings are conducted confidentially and the decision rendered is not made public. This confidentiality allows parties to speak freely, knowing that the information provided in the proceedings will not become public. However, in some limited circumstances, a court may order a securities arbitration decision to be made public. This may occur when an investor feels that a broker-dealer or investment advisor has violated the law, and is seeking to hold them accountable by making the arbitration decision public. In such cases, the investor may need to file a motion with the court to make the decision public, but this will be at the discretion of the court. In summary, securities arbitration decisions in Oregon do not usually become public records. However, in some cases, the court may order a decision to be made public.

Related FAQs

Do securities arbitration decisions become public records?

Related FAQs

Related Blog Posts