Most Investment Disputes are resolved at the arbitration facilities maintained by the Financial industry regulatory authority Known as FINRA. They have what is called an office of dispute resolution.99% of customer disputes Involved with FINRA member firms are required by law to be arbitrated, which means you can’t go to court. There are the odd exceptions but most investment disputes with FINRA member firms have to be arbitrated, as opposed to going to a court. What that usually involves is an arbitration panel of three members who sit and hear evidence from both sides and make a decision as opposed to the court venued issues where’d you have a jury with a judge.
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