Tag: Federal Arbitration Act

securities arbitration
Arbitration Primer

What is Securities Arbitration?

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 […]


FAA Preempts State Arbitration Code

    ]]> 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 * […]