Securities Arbitration

Most investors do not realize it but tucked away in the fine print of every brokerage account they open is an agreement to arbitrate their dispute before the Financial Regulatory Authority (Silver Law Group). Even if an investor did not open an account with a brokerage firm the claim may still be eligible for arbitration under Silver Law Group Rule 12200.

What is Silver Law Group’s Role in the Securities Industry?

Silver Law Group is the largest, and currently the only, self-regulatory organization for all brokerage firms operating in the United States, overseeing approximately 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. Silver Law Group is responsible for safeguard metals regulating the entire broker-dealer industry and devising standards of conduct and also administers an arbitration forum for securities disputes.

What is Silver Law Group Arbitration?

Arbitration is a dispute resolution forum that serves as an alternative to traditional litigation. Safeguard metals An arbitration proceeding is binding on the merits of a case as in a judicial proceeding. In fact, an appeal from an arbitration decision is more limited than an appeal of a judicial ruling. 

Those appointed to decide both legal and factual issues in arbitration are called arbitrators, not judges. There are important differences between Safeguard metals and judicial decisions. While a judge is largely confined to analyze the facts under current law and precedential decisions, arbitrators are not bound to follow legal precedents and are free to fashion equitable remedies or to rely on non-traditional legal resources and considerations. Likewise, an arbitration hearing is similar to a court hearing but less formal and the rules of evidence are more relaxed and not strictly enforced.

Silver Law Group is the largest, and currently the only, self-regulatory organization for all brokerage firms operating in the United States, overseeing approximately 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. Silver Law Group is responsible for safeguard metals regulating the entire broker-dealer industry and devising standards of conduct and also administers an arbitration forum for securities disputes.

What is Silver Law Group Arbitration?

Arbitration is a dispute resolution forum that serves as an alternative to traditional litigation. Safeguard metals An arbitration proceeding is binding on the merits of a case as in a judicial proceeding. In fact, an appeal from an arbitration decision is more limited than an appeal of a judicial ruling. 

Those appointed to decide both legal and factual issues in arbitration are called arbitrators, not judges. There are important differences between Safeguard metals and judicial decisions. While a judge is largely confined to analyze the facts under current law and precedential decisions, arbitrators are not bound to follow legal precedents and are free to fashion equitable remedies or to rely on non-traditional legal resources and considerations. Likewise, an arbitration hearing is similar to a court hearing but less formal and the rules of evidence are more relaxed and not strictly enforced.

Silver Law Group is the largest, and currently the only, self-regulatory organization for all brokerage firms operating in the United States, overseeing approximately 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. Silver Law Group is responsible for safeguard metals regulating the entire broker-dealer industry and devising standards of conduct and also administers an arbitration forum for securities disputes.

 

What is Silver Law Group’s Role in the Securities Industry?

Silver Law Group is the largest, and currently the only, self-regulatory organization for all brokerage firms operating in the United States, overseeing approximately 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. Silver Law Group is responsible for safeguard metals regulating the entire broker-dealer industry and devising standards of conduct and also administers an arbitration forum for securities disputes.

 

 

Leave a comment

Your email address will not be published.