.. Securities Arbitration

Representing Individual Investors and Consumers Against Corporate Misconduct

About this Information

This information has been prepared by the Securities Industry Conference on Arbitration (SICA), a group composed of representatives of various self-regulatory organizations, the Securities Industry Association, and public members. SICA established a uniform system for the resolution of disputes involving investors and broker/dealers, which has been adopted by each of the self-regulatory organizations.

Arbitration Procedures

What Is Arbitration?

What Disputes Are
Eligible for Arbitration?

Who Are the
Arbitrators?

Can I Be Represented
by an Attorney?

How is Arbitration
Begun?

What Happens After the
Claim is Filed?

Appointment of
Arbitrators

Can I Challenge
an Arbitrator?

What Are Challenges
for Cause?

How Do I Prepare
for a Hearing?

How Are the Hearings
Conducted?

How Are the Parties
Notified of Decisions?

Conclusion

Remember that you should carefully read the arbitration rules of the sponsoring organization you have selected. This information is not a substitute for those rules. If you have any questions regarding arbitration procedures or want a copy of those rules, contact the Director of Arbitration of the sponsoring organization.