What issues can be addressed in a securities arbitration hearing?

Securities arbitration hearings are used to settle disputes between individuals and financial firms like stock brokers, investment advisors, and banks. Securities arbitration is an alternative to court proceedings and is a relatively inexpensive and efficient way to resolve disputes. In a securities arbitration hearing, many types of issues can be addressed. These issues include allegations of fraud, breach of fiduciary duty, negligence, misrepresentation, unsuitability, unauthorized trading and failure to supervise. Investors sometimes allege that their broker sold them a security that was too risky for their particular investing style or financial situation, or that their broker engaged in churning, or excessive trading in order to increase commissions. Securities arbitration hearings can also address contractual disputes and claims of financial negligence. These are claims that a broker or advisor did not fulfill their contractual obligations or did not act in the best interests of their client. Additionally, if a firm did not provide adequate disclosure about a security or about their fees, that can also be addressed in a securities arbitration hearing. In some cases, securities arbitration hearings can also involve claims of discrimination or harassment. If an investor feels that they were treated unfairly or that their broker made decisions based on their race, gender, age or some other factor, they can bring these types of claims in a securities arbitration hearing. Overall, securities arbitration hearings are meant to resolve any disputes between investors and financial firms. Through these hearings, investors can resolve issues related to fraud, breach of fiduciary duty, negligence, misrepresentations, unsuitability, unauthorized trading, failure to supervise, contractual disputes and financial negligence, as well as issues of discrimination and harassment.

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What issues can be addressed in a securities arbitration hearing?

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