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Many lawyers choose to resolve client's claims through mediation, rather
than allow arbitrator to make the final decision. This voluntary process
has several steps that, if done properly, give you a level of predictability
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The Financial Industry Regulatory Authority has two methods for dispute
resolution - mediation and arbitration. These are two separate methods
used for different purposes. Mediation is voluntary and typically more
informal than arbitration
If you choose mediation to settle a dispute then you maintain some control
over who the mediator is, however, so does the other party. The mediator
has to be a neutral, third party.
While most disputes between investors and their brokers are settled during
mediation, this process is sometimes unsuccessful in coming to a resolution.
In the event that this happens, arbitration can be pursued.
Mediation, unlike arbitration, is non-binding. For this reason, brokerage
firms often don’t pay the full value of what they owe the claimant,
making arbitration necessary in many cases.
Since the Securities and Exchange Commission (SEC) established rules that now allow individual investors to become involved with securities-based crowdfunding in May of 2016, ...
The board of the Financial Industry Regulatory Authority (FINRA) recently moved to increase disclosures from firms and brokers that fail to pay arbitration awards and to ...
Stockbroker John Carolyn (CRD# 4485799) is currently registered with UBS Financial Services, Inc. and has been affiliated with the firm in Houston, Texas since February 2002. ...