What types of legal issues can be addressed through securities arbitration?
Securities arbitration is a legal process in which disputes between investors and financial companies such as brokers are heard and resolved. This is a popular way for investors to resolve disputes without having to go to court in Oregon. Through securities arbitration, issues related to improper securities sales, fraud, misrepresentations, and negligence can be addressed. For example, if a stockbroker sells securities without proper disclosure to the investor, this could be addressed in a securities arbitration. The broker could be held liable for failure to disclose important facts, such as the risk associated with the investment. Violations of state and federal securities laws can also be addressed in securities arbitration. In addition, securities arbitration can also be used to address issues related to margin accounts, unsuitable investments, churning, unauthorized trading, account mishandling and misrepresentations. For example, a broker could be held liable for recommending an inappropriate investment to an investor, or for excessive trading of an investor’s account in order to generate commissions. Securities arbitration is not limited to the investor-broker relationship. The procedure can also be used to resolve disputes between broker-dealers, publicly-traded companies, and/or other financial institutions. Ultimately, the goal of securities arbitration is to provide a fair and expeditious method of resolving disputes in order to help promote investor confidence in the markets.
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