Brokerage agreements for members that belong to FINRA or NYSE all have arbitration clauses including the e-commerce brokerage houses such as ETrade or TD Ameritrade and others. There are defined rules and arbitration practices that are followed by the parties in a securities dispute. The arbitrations are usually a three member panel arbitrator where the chair person also sets a scheduling order with the disputants and the entire panel input and hears pre hearing discovery issues , issues subpoenas and presides over the arbitration hearing.
Jeff Kilgore is a registered Arbitrator with FINRA (previously NASD). He is on the select chairman panel and has often been chosen to serve as the panel chairman for the arbitration. He as also presided over cases involving securities issues between customer and broker, broker and broker, and brokers advisers and customers on a wide variety of disputes issues. He has been assigned to cases involving disputes from Boca Raton Florida to Texas.
Remote mediations via zoom have become part of my practice.
This process can be successful and an efficient method to resolve issues.
Please call or contact:
Jeff Kilgore at 409-939-6924