What types of legal issues can be addressed through securities arbitration?

Securities arbitration is a legal process that addresses claims arising from disputes concerning investments such as stocks, bonds, mutual funds, and other securities. The process is administered by the Financial Industry Regulatory Authority (FINRA), a self-regulatory organization approved by the U.S. Securities and Exchange Commission (SEC). In Alaska, FINRA is responsible for securities arbitration. Securities arbitration can address a range of legal issues, including allegations of fraud, breach of fiduciary duty, negligence, misrepresentation, unsuitability, or other wrongful acts related to the sale, purchase, or holding of a security. For example, if an investor believes they were misled about a security, they can file a claim for damages against the seller through securities arbitration. Securities arbitration may also be used to resolve disagreements over the terms of an investment such as compensation paid to an investment advisor, fees charged by a broker, and the performance or misrepresentation of a security or investment vehicle. The process of securities arbitration involves hearing both sides of a dispute before a neutral arbitrator (or a panel of arbitrators). The arbitrator will consider the facts of the case and applicable law, and will render a decision that is binding on both parties. This decision is final and cannot be appealed.

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What types of legal issues can be addressed through securities arbitration?

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