What issues can be addressed in a securities arbitration hearing?

In Georgia, a securities arbitration hearing is a civil process used to resolve disputes between investors and investment firms or other financial professionals. These hearings are conducted by the Financial Industry Regulatory Authority (FINRA), and they address a wide range of issues that arise from the purchase or sale of securities. The main issues that can be addressed in a securities arbitration hearing are claims of fraud or misconduct against a financial professional, including allegations of unsuitability, breach of fiduciary duty, and churning of accounts. Additionally, disputes over the payment of fees for services, such as commissions, research costs, and investment advice, as well as disagreements about certificates or other securities purchased or sold, can all be addressed in securities arbitration. Furthermore, claims of unauthorized trading and failure to execute trades, as well as a variety of other investment-related losses, can be brought before FINRA for resolution. This includes an individual’s failure to follow instructions, improper supervision of employees, and negligence in performing duties. Finally, it is also possible to bring a claim against a firm for failure to provide customers with complete and accurate trade confirmation and account statements. If a financial advisor has recommended unauthorized investments or provided incorrect advice, the customer can also seek damages in a securities arbitration hearing.

Related FAQs

What issues can be addressed in a securities arbitration hearing?

Related FAQs

Related Blog Posts