Dispute resolution

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Dispute Resolution

Any method of resolving a conflict without resorting to a lawsuit. Dispute resolution involves the disputing parties agreeing that a neutral arbiter will hear the arguments of both sides and render a binding decision. In investing, arbiters in dispute resolution may be FINRA, the New York Stock Exchange, or the SEC, depending on the type of disagreement. Dispute resolution is nearly always less expensive than a lawsuit because there are no appeals (and fewer lawyers).

Dispute resolution.

Dispute resolution -- sometimes called alternative dispute resolution -- refers to methods of resolving conflicts between parties or individuals that doesn't involve litigation.

Mediation and arbitration are two forms of dispute resolution that are frequently used when conflicts arise between investors and the brokers or investment advisers with whom they work.

If you have a conflict that you've been unable to resolve by talking with your broker and the firm, you can file a complaint with NASD or the New York Stock Exchange (NYSE), the self-regulatory body that regulates brokerage firms and uses mediators and arbitrators to help resolve disputes. If your conflict is with a registered investment adviser, you should contact the Securities and Exchange Commission (SEC).

Advocates of dispute resolution note that it tends to be quicker, cheaper, and less confrontational than litigation.

References in periodicals archive ?
Exploring the dispute resolution system for securities transactions in a transnational environment, Andreotti argues that a transnational legal infrastructure for transnational securities transactions, especially regarding dispute resolution, is still lacking, which undermines the emergence of stronger transnational financial markets.
He was addressing a ceremony held for setting up Alternative Dispute Resolution Centre at Rawalpindi Chamber of Commerce and Industry (RCCI).
He said the law would help in efficient and effective resolution of international trade disputes through negotiations, mediation, arbitration, determinations, alternative dispute resolution mechanisms and referral of disputes to commercial benches that would be set up under the proposed commission.
The Trade Dispute Resolution Organization (TDRO) gave a detailed presentation on the draft law of Trade Dispute Settlement Act which envisaged formation of a Trade Dispute Resolution Commission (TDRC) that would work under the administrative control of Ministry of Commerce with same powers as vested in a Civil Court for swift and effective resolution of disputes relating to the export and import of goods and services including import and export through e-commerce.
RAK International Corporate Centre (RAK ICC), Abu Dhabi Global Market Courts (ADGM Courts) and Abu Dhabi Global Market (ADGM) have joined forces to boost dispute resolution services.
The parties have agreed to appoint retired Deputy Chief Justice Dikgang Moseneke to lead the Alternative Dispute Resolution process.
For a host of reasons, the use of mediation dispute resolution services are rapidly growing.
With the amendment, investors of capital market products and services offered by or through BNM regulated commercial banks and Islamic banks, will now have access to dispute resolution services through SIDREC.
Most requests for dispute resolution come from homeowners, but retailers, manufacturers and installers can also submit a request at www.
Incentives for outside counsel to embrace dispute resolution options Key performance indicators Part 1: Four KPI's that can keep your legal department on track _________________________________________________________________________________________________________________________
Anna Bevan-Jones, Lee Taylor and Gareth Fortey have all come back home to Wales to join the practice as either senior associate or associate within the dispute resolution and commercial property teams.
An expert in property dispute resolution, Jane joins Lodders from Wright Hassall LLP in Leamington Spa, where she was a partner and head of property dispute resolution for more than 15 years.