The Law of the Financial Markets from Top Securities Lawyers
Tuesday, November 11, 2025
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
]]> Home | Message Board Home Search Arbitration Investors Brokers Finance Law Compliance Archives FAA Preempts State Code Unless Arbitration Clause Incorporates the Code. Arbitration therefore mandatory for signatories and third party beneficiaries Nyko v. First Union Securities, Inc., B150211 (Cal. App., 2Dist., 2/7/02). Appealability * Arbitrability * […]
