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Abstract: 

Given the turmoil over the last two years in the American financial markets, arbitration and mediation programs in the United States continue to dominate the dispute resolution process in the securities industry. An examination of the American securities arbitration and mediation process is especially timely because of the current, ongoing economic turmoil, the resulting customer and industry losses, and a dramatic increase in arbitration filings. This article provides an overview of the historical underpinnings of the American securities arbitration and mediation systems, details the securities arbitration and mediation processes, and considers common securities arbitration claims.

Keywords: FINRA arbitration and mediation, ADR, eligibility, statement of claim, discovery process, expungement, arbitration awards, customer and industry claims

Affiliations:  1: Fox Rothschild LLP; 2: Fox Rothschild LLP.