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

Securities arbitration is a form of alternative dispute resolution used to resolve legal issues that arise from the purchase or sale of a security or investment. In New Mexico, investors, brokers, and other members of the securities industry can use securities arbitration to address a variety of legal issues. The most common type of issue addressed through securities arbitration is a dispute between a broker and an investor over the purchase or sale of a security or investment. This may involve issues such as breaches of fiduciary duty or fraud on the part of the broker or the firm. Arbitration can also be used to address disputes between two parties involving the value of a security or the performance of an investment. In addition, securities arbitration can be used to address issues such as insider trading and failure to supervise claims against a broker-dealer. This is not limited to disputes between brokers and investors; disputes involving disputes between two or more investors over the performance of an investment or the value of a security can also be addressed through arbitration. In New Mexico, arbitration can be used to resolve civil or criminal matters. This includes issues such as violations of state or federal securities laws or claims of consumer fraud. The details of each case must be weighed by an arbitration panel to determine if arbitration is an appropriate dispute resolution method.

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

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