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Does the Division provide a forum for the arbitration of disputes regarding securities transactions?

April 26, 2017arbitration disputes division forum securities transactions

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Does the Division provide a forum for the arbitration of disputes regarding securities transactions?

1 Answer

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10 Posted

No. The Division will investigate a dispute if there appears to be any violations of the Ohio Securities Act, but the Division does not provide a formal forum for the parties to resolve the dispute. It is the National Association of Securities Dealers, Inc. (NASD), now part of the Financial Industry Regulatory Authority (FINRA), that provides a forum for the arbitration of disputes regarding securities transactions.