What kind of witnesses may be called in a securities arbitration hearing?

In a securities arbitration hearing in California, witnesses may be called to testify to provide information relevant to the case at hand. Witnesses may range from people who have purchased or sold securities involved in the dispute to experts who have knowledge of the securities laws that are relevant to the dispute. Individuals who purchased or sold securities involved in the dispute can provide relevant facts about the parties’ involvement, such as whether a trade occurred or the prices and dates of the trades. These witnesses may also provide testimony about the accuracy of brokerage records or the quality of services provided by the broker. In addition, experts such as financial analysts, accountants, and attorneys who have knowledge of the relevant securities laws may also be called to testify on behalf of the parties involved. These experts may provide insight into the laws governing the transaction, such as rules regarding insider trading, fiduciary duty, or false and deceptive statements. Such experts may also be able to better explain the background and context of the dispute and provide additional evidence to support their client’s claims. Finally, other people may be called to testify in order to help clarify certain facts or provide additional information to the arbitrator. Such witnesses may include family members, neighbors, coworkers, or anyone who may have knowledge of the dispute. In short, a variety of witnesses, from those involved in the securities transaction to experts and other people who have knowledge of the dispute, may be called to provide testimony in a securities arbitration hearing in California.

Related FAQs

What kind of witnesses may be called in a securities arbitration hearing?

Related FAQs

Related Blog Posts