What is the process involved in filing arbitration against my broker-dealer employer?

In the brokerage industry virtually all arbitrations are handled by FINRA. To begin a claim against a firm, you can go to the FINRA website and get...

Is this legitimate?

When your father passed away, did the estate go through probate? If so, I would suggest contacting the attorney that handled the probate and asking...

Depending on who sold it to your dad (i.e., a brokerage firm or a Registered Investment Advisor), you may have to file a claim either in...

What happens if you have an arbitration decision that is rendered from a BBB dispute and you are still in disagreement

First are you sure you mean "arbitration" and not "mediation"? I ask because you use the term "settlement". An arbitration is like a trial with the...