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Posts tagged "arbitrators"

Presenting Your Narrative to the Arbitrators - How to Win Their Empathy

Securities arbitration differs greatly from a typical civil court action. Recognizing these differences when presenting your case can be the difference between a monetary Award and having your case dismissed. Unlike court, where your target audience is a jury of laymen, unfamiliar with the law and your case, arbitration panels are typically made up of practicing or retired attorneys who have read all the pleadings in your case before ever seeing you. So how does an investor connect with and convince an arbitration panel to award damages? This article should provide a quick primer.

Who is a Customer for Purposes of FINRA Arbitration?

You've been swindled by your broker and learn that, not surprisingly, his firm knew nothing about it. Worse yet, you learn that he never actually opened an account for you - "investing" your money in a Ponzi scheme, a phony-baloney high interest promissory note or a cure for Alzheimer's that the FDA knows nothing about - and sending you made up brokerage firm account statements.