Preparing for Arbitration

Business in the securities industry for the most part is conducted fairly, efficiently, and in a manner that satisfies everyone involved. Occasionally, however, disputes or problems arise. For example, you may disagree with how your broker handled a transaction. If you cannot resolve the matter yourselves, there are effective alternative dispute resolution mechanisms, which usually result in a swift conclusion without the inconvenience and expense of a court "battle." There are important measures to take …

…during the hearing. I have also provided by opinion regarding the fact that arbitrators are chosen by the National Association of Securities Dealers providing surveys and quotations in support of my opinion. The NASD has a wealth of educational training and background in support of individuals who seek arbitration as a means of resolving investments that have gone wrong. They are there to assist the investor. References: http://www.nasdadr.com/ http://www.nasd.com/