The Arbitration Process

Arbitration is a form of alternative dispute resolution designed to have disputes resolved by an unbiased arbitrator. Historically, arbitration has been used to resolve securities disputes and other complicated disputes outside of a costly trial. When you started investing, you likely signed an agreement with your investment company requiring any disputes to be resolved through arbitration.

Arbitration Can Be Required to Resolve Securities Disputes

If you are concerned that your stockbroker misled you or acted in a fraudulent manner, you can bring an arbitration claim through the Financial Industry Regulatory Authority (FINRA). Securities professionals are highly aware of the rules and expectations of arbitration. Before challenging a stockbroker’s actions, make sure you have an experienced attorney focused on protecting your best interests. I am Chicago attorney John C. Barlow with more than 33 years of securities law experience, including 18 years of experience working with (FINRA). Contact my law firm today for a free initial consultation. I will make sure you go into arbitration fully informed of the process that can lead to a final and binding resolution.

Securities Arbitrators Are Knowledgeable Professionals

Securities arbitrators are impartial individuals who are highly trained within securities law. Each investment firm has a list of arbitrators that are qualified to make a ruling in securities disputes. However, the arbitrators are not employees of the investment firms.

If you are dealing with a securities dispute, you can feel confident knowing your case will be heard by an unbiased arbitrator or arbitrators. Depending on the complexity of issues involved, your case could be heard by an arbitrator or a panel of three arbitrators. The Director of Arbitration is responsible to determine which arbitrators hear a case. Once the determinations are made, each side is provided with the following information:

  • Arbitrators’ names
  • Arbitrators’ business affiliations
  • Arbitrators’ employment history
  • Any perceived conflicts

Make Sure You Have a Securities Law Attorney in Your Corner

If you plan to file a claim against your stockbroker or investment firm, make sure you work with an experienced lawyer. You have a right to have a securities law attorney present at any stage of arbitration. The stockbroker or investment firm will likely have legal counsel, so you should have nothing less than experienced representation in your corner. Once you have selected an attorney, you notify the Director of Arbitration. This will ensure that any communication regarding your case will be sent to your attorney.

I have extensive experience handling securities disputes through arbitration. I am highly aware of the arbitration process and will take every measure possible to protect your financial interests. During a free initial consultation, I can help address all of your questions regarding arbitration such as:

  • How are arbitration claims made?
  • What happens after a claim is made?
  • How are arbitrators appointed?
  • Can I challenge the appointment of an arbitrator?
  • How should I prepare for arbitration?
  • How are the hearings conducted?

Contact Illinois Securities Lawyer John C. Barlow

During arbitration, each side will have a chance to present witnesses and any key evidence that can substantiate their claims. You will be expected to explain how much money is in dispute and how you arrived at that number. This is a highly complicated process. The other side will be prepared with legal counsel and so should you.

I have extensive experience handling arbitrations through FINRA. I know how to carefully assess the issues involved and present arguments before a panel of arbitrators. Contact my Chicago, Illinois, law firm today for a free initial consultation. I can help you understand the arbitration rules that will be applied to your case and will take every measure possible to protect your best interests.