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

Securities arbitration is a form of dispute resolution in which an independent third party is used to settle disagreements between parties in the context of financial and investment services. In Florida, the Financial Industry Regulatory Authority (FINRA) operates the arbitration procedure and helps to resolve issues between investors, brokers, investment firms, and securities companies. Some of the common legal issues that can be addressed through securities arbitration include disputes over investment losses, allegations of fraud or misconduct, disputes over the terms of a contract, or disputes between investors and brokers. Additionally, it can be used to resolve disputes involving the sale of securities, including violations of state or federal securities laws. Securities arbitration can also be used to settle disputes related to the exchange of investments, such as annuities, mutual funds, securities, or other types of investments. The process may also be used to address issues related to the performance of investments, including if a broker or advisor failed to provide suitable advice or follow suitable instructions. Finally, securities arbitration can be used to address issues related to the breach of fiduciary duty, such as the failure to properly manage investments or follow proper procedures for handling investments. Overall, securities arbitration is a helpful and efficient way to resolve financial disputes in Florida. It can be used to settle a variety of legal issues, including those related to the sale or exchange of investments, performance of investments, and breach of fiduciary duty.

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

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