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Most brokerage firms require their customers to contractually agree to submit all disputes arising in connection with their securities account to binding securities arbitration, which is the equivalent of a trial, before a forum sponsored by a Self Regulatory Organization, such as the FINRA or the New York Stock Exchange. The agreement to arbitrate is customarily found in all stock brokerage new account agreements, margin agreements, and option agreements. Arbitrations are conducted in accordance with the Uniform Code of Arbitration (Uniform Code) as developed by the Securities Industry Conference on Arbitration.
To help us evaluate whether you have a claim regarding “Securities Arbitration”, call The Bernstein Law Firm, at (858) 505-8000, or contact us for a free initial consultation with a Miami lawyer.