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Securities Arbitration

When you signed a contract with your broker, you probably didn’t read every detail of the fine print. One of the details likely stipulated was that in the event of a dispute, you would have to use securities arbitration rather than the court’s system.

This process is unfamiliar to most investors. But with the proper legal council on your side, the securities arbitration process actually gives you more power to argue that your broker has acted irresponsibly. If you have lost money due to fraud or negligence, it can be the best tool to begin recouping your losses.

How Does Securities Arbitration Benefit Me?

Securities arbitration is similar to going through the courts, but with a few notable differences. First and foremost, the rules for preventing evidence are less strict. That means evidence of misconduct that you may not have been able to present in court you can bring up during securities arbitration.

The other major difference is that the decision of the third-party arbitrator leading the proceedings does not have to be strictly based on the letter of the law. So if your broker has acted unethically and irresponsibly but not technically illegally, they can still be help responsible.

It is not a foregone conclusion that the securities arbitration will go the way you want it to. The key is to have the right council. Someone with experience and expertise can build the strongest case possible and use the unique features of the securities arbitration process to your benefit.

Can Securities Arbitration Recover all my Losses?

You are only eligible to recover losses that directly resulted from stockbroker misconduct. Decisions you understood and authorized that lead to losses will not be covered. The final decision on damages is made by the arbitrator and takes into consideration both your case and the broker’s defense.

You can be awarded “out-of- pocket” damages combined with interest. Or you can be awarded “market-adjusted damages” that include both the money you invested and the money you would have earned if your broker made responsible decisions.

Contact Us for a Free Consultation!

It is essential to have a qualified lawyer on your side before you begin the securities arbitration process. Don’t delay in contacting the Law Office of Howard M. Rosenfield at (860) 677-4334.

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Howard Rosenfield is truly a life saver. After months of working with my financial advisor, I found out he was making risky investments without my knowledge. When I discovered how much money I lost, I thought there was nothing I could do. Howard explained all the difficult terms and what exactly my financial advisor did wrong. If it wasn't for Howard, I would never have recovered my losses and would be under extreme financial distress to this day. J.
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