What issues can be addressed in a securities arbitration hearing?

Securities arbitration hearings are legal proceedings where investors can raise claims against financial advisors, brokers, and other financial institutions in the state of Washington. There are several types of disputes that can be addressed during a securities arbitration hearing, including: 1) Misrepresentation or negligence on the part of the financial advisor or broker. This can include failure to disclose pertinent information or providing inaccurate information. 2) Claims of breach of fiduciary duty. This can include the failure to act in the best interest of the client or providing advice that is not in the client’s best interest. 3) Claims of unauthorized trading. This can include trading of investments without the client’s authorization. 4) Claims of unsuitable investments. This can include investing in investments that are not in line with the client’s needs or risk tolerances. 5) Claims of failure to execute trades. This can include the failure to follow through on investment instructions from the client. 6) Claims of excessive commissions. This can include charging higher than traditional commissions or fees on investments. 7) Claims of unauthorized withdrawal of funds. This can include withdrawing funds from an account without authorization. Overall, securities arbitration hearings offer investors a forum to raise legal claims against financial advisors and other financial institutions in the state of Washington. These claims can involve a wide range of issues, from unauthorized trading to excessive commissions. It is important to note that in many cases, investors are required to meet certain requirements before a claim can be properly filed in a securities arbitration hearing.

What issues can be addressed in a securities arbitration hearing?

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