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Securities Arbitration
Securities arbitration is the way almost all disputes between customers, brokers and financial institutions are resolved. From the filing of a claim through to the final hearing, proper investigation, knowledge of the industry and law, preparation and presentation to arbitrators are critical.
Bailey & Dixon attorneys actively defend individuals, brokers and broker-dealers in claims before the NASD, the New York Stock Exchange and the American Arbitration Association. Our attorneys often serve as chairmen and arbitrators in these forums arbitrating claims. We combine our extensive business experience and knowledge of the securities industry with hands-on understanding of the arbitration process, its practicalities, procedures, forums and methods of enforcement.
When an arbitration claim is filed, we will work with you to prepare an intelligent, vigorous and strategically aggressive defense. If it appears that you or your firm has exposure, we can recommend alternatives to a full-blown arbitration hearing. Of course, should you decide to proceed to hearing, we will thoroughly prepare you and your witnesses to testify and, where necessary, recommend and work with expert witnesses to provide support to our defenses.
Our clients range from individuals, brokers, smaller broker-dealers located exclusively in North Carolina to multibillion dollar financial institutions with offices throughout the United States.
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