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.

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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.
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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.
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RAK ICC, ADGM Courts and Abu Dhabi Global Market form partnership
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