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Securities Arbitration

Securities arbitration is a process for resolving disputes between investors and financial firms or brokers, typically involving investments such as stocks, bonds, and mutual funds. If you are seeking to pursue a securities arbitration claim, there are a number of services that can be provided to help guide you through the process. Here are some common service contents for securities arbitration:

  1. Consultation: The first step in the securities arbitration process is to consult with a professional who can help you evaluate your claim and determine whether it is appropriate for arbitration. A consultation can also help you understand the securities arbitration process and the potential outcomes of your claim.
  2. Claim Preparation: Once you have decided to pursue a securities arbitration claim, a service provider can assist you in preparing your claim for submission to the Financial Industry Regulatory Authority (FINRA) or other arbitration organization. This may involve gathering documentation, drafting the claim, and presenting evidence.
  3. Representation: In some cases, it may be advisable to retain a securities arbitration lawyer to represent you in the arbitration process. A securities arbitration lawyer can provide expert guidance throughout the process, from preparing the claim to presenting evidence at the arbitration hearing.
  4. Discovery: Discovery is the process by which parties to an arbitration obtain information from each other. A service provider can assist you in conducting discovery, which may include document requests, depositions, and other methods of gathering information.
  5. Expert Witnesses: Expert witnesses can be critical in securities arbitration cases, particularly in cases involving complex financial instruments or transactions. A service provider can help you identify and retain expert witnesses who can provide testimony on your behalf.
  6. Mediation: Mediation is a form of alternative dispute resolution that can be used to resolve securities arbitration claims before they go to a full arbitration hearing. A service provider can assist you in preparing for and participating in mediation.
  7. Arbitration Hearing: If your claim proceeds to a full arbitration hearing, a service provider can assist you in preparing for the hearing, including the selection of arbitrators, the presentation of evidence, and the preparation of closing arguments.

Overall, a securities arbitration service provider can offer a wide range of services to help guide you through the process of resolving disputes with financial firms or brokers. By working with a professional, you can increase your chances of achieving a successful outcome in your securities arbitration case.

ATTORNEY ANTHONY M. ABRAHAM