Chicago Securities Arbitration Lawyer - Recovers Investment Losses through NASD Arbitration - Brokerage Attorney, Stockbroker Fraud

Helping individuals recover their investment and retirement plan losses.

» 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

» Glossary Of Terms

» About This Information

WHAT DISPUTES ARE ELIGIBLE FOR ARBITRATION?

In considering whether to initiate arbitration, it is important to keep in mind that, generally, a public customer has a right to require a broker/dealer to submit for arbitration only disputes relating to or arising out of the business activities of the broker/dealer.

When deciding where to file your claim, you should determine which self-regulatory organization (SRO) supervises the markets where the transaction occurred or the securities are listed. The Uniform Code provides that an SRO may, with the consent of the claimant, refer a case to the appropriate forum where the transaction occurred or the securities are listed.

An additional factor to be noted is that a controversy is not eligible for submission to arbitration if six or more years have elapsed from the date of the event giving rise to the dispute. The arbitrators also may dismiss a claim barred by shorter applicable state or federal statutes of limitations. If there is a question about the statute of limitations, you should consult an attorney.

Even after a customer has signed the agreement to arbitrate, the customer may request either the sponsoring organization or the arbitrators to permit that customer to proceed with his or her claim in court. The customer should be aware, however, that in most cases the sponsoring organization and the arbitrators will retain jurisdiction and proceed with the arbitration.

A newly adopted section of the Uniform Code states that a claim submitted as a class action shall not be eligible for arbitration. The rule also sets forth the circumstances where a claim encompassed by a putative or certified class action may or may not be eligible to be filed in arbitration. For further guidance you should refer to the rule and discuss its application to a particular case with the staff of the SRO where you intend to file your claim.



	About Our Lawyers Learn more about Andrew Stoltmann, Dave Neuman and Joe Wojciechowski Stoltmann In The News Various news articles and TV transcripts quoting Andrew Stoltmann or profiling his clients. Stoltmann Arbitration Awards Arbitration Awards by Andrew Stoltmann. InvestmentFraud.PRO Blog Read the InvestmentFraud.PRO Blog. Arbitration Process Questions and Answers on the Arbitration Process. Checking Out Your Broker Tips for Checking Out Brokers and Advisers. 151 Answers To Most Faqs. Excerpts from the book by co-authored by Andrew Stoltmann on Investor Rights for the 21st Century. Group Arbitration Actions Learn more about Group Arbitration Actions. Insurance Abuses Life Insurance Twisting Ponzi Scheme Scheme usually offers abnormally high short-term returns... Bond Fraud At Stoltmann Law Offices, we've represented many clients in arbitrations ... Get Started, Schedule A Meeting. Contact our office to schedule a meeting. Cases Pending/Current Investigations Specific broker’s/brokerage firm’s name and actions Free, 24 Hour, Online Evaluation Contact our office to schedule a meeting.