Who Are The Arbitrators?
Arbitrators are persons who are in the areas in controversy. Each sponsoring organization maintains a roster of individuals whose professional qualifications and qualify them for service as arbitrators. The arbitrators are not employees of the sponsoring organization and they, not the sponsoring organization, will decide your dispute.
Customers can now choose to have an all public panel. This is a fabulous victory for investors! This means that the arbitrators are neither associated with nor employed by a broker/dealer or securities industry organization.
The Director of Arbitration will inform the parties of the names and business affiliations of the selected arbitrators, their employment histories for the last 10 years, as well as any conflict information disclosed pursuant to the Uniform Code. Some parties are interested in previous awards issued by prospective arbitrators. Each has developed procedures to make available information on public customer awards issued since May 1989.
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