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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.
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