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How much does it cost to arbitrate?

The NYSE and NASD require both a filing fee and a hearing fee when submitting a request to arbitrate. The fees depend on the amount that you are seeking. The NYSE requires a filing fee of $15 to$300 and a hearing fee between $15 and $1500. NASD filing fees run from $25 to $600 with hearing fees from $25 to $1200.

Important: These Frequently Asked Questions (FAQs) were prepared by David Harrison, Esq. David Harrison is a founding partner in the law firm of Spivak & Harrison. Mr. Harrison served as in-house counsel to the brokerage firm Morgan Stanley Dean Witter where he resolved allegations regarding stockbroker wrongdoing. Mr. Harrison was formerly series seven licensed when he worked as a broker at Shearson Lehman Brothers. Mr. Harrison concentrates in the areas of stockbroker fraud and securities litigation. Mr. Harrison can be reached at (310) 772-2274, dharrison@shlawyers.com or http://www.shlawyers.com.

These Frequently Asked Questions are based on Federal and California Law.

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