Securities Disputes Committee (Dispute Resolution)

The Securities Disputes Committee focuses on the resolution of disputes between investors and  securities professionals as well as intra-industry disputes between the latter, which most often is accomplished through mandatory arbitration or voluntary mediation absent a party-negotiated settlement.  Typically, the arbitration or mediation forum is a self-regulatory organization such as FINRA or the NFA, but may also be  AAA or JAMS.

This Committee was created in May 2020 as a forum for attorneys practicing in this specialized area as party representatives and/or neutrals.  Its goal is educate and promote constructive dialogue on substantive regulations and procedural rules governing these types of disputes.