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  • Who decides whether the case is litigated in court or arbitration?
    • Many customers sign an arbitration agreement when they open an account. If they signed an arbitration agreement the forum to litigate the matter will be through some type of arbitration forum. The two most popular forums are the NYSE and NASD. If an arbitration agreement was not signed the customer might have the option to litigate in the courts or by arbitration. The majority of cases are heard by an arbitration panel.
    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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