Arbitration

Oct 19, 2008 1 Replies
M

I an considering going to arbitration with my ex-financial advisor (an A.G. Edwards employee) for risky and non-diversified holdings in my fixed income account. Can anyone tell me if the income I received from this account counts against my out-of-pocket losses?


-------------------------------------- Misc.invest.financial-plan is a moderated newsgroup where Moderators strive to keep the conversations on-topic for financial planning. Other posting guidelines include a request for brevity and another for trimming posts to which we respond. For all of the other tips and suggestions, see "FROM THE MODERATORS: Posting to misc.invest.financial-plan", a weekly post now on the Newsgroup.



Vote
Twitter Facebook LinkedIn
C

If you are contemplating Arbitration, then you should have the benefit of LEGAL COUNSEL. There are many laws involved in the Arbitration process, and you would be best served with an Attorney, who could also answer you specific question.

You might want to check with your local FINRA (was NASD) Office.

Cal

-------------------------------------- Misc.invest.financial-plan is a moderated newsgroup where Moderators strive to keep the conversations on-topic for financial planning. Other posting guidelines include a request for brevity and another for trimming posts to which we respond. For all of the other tips and suggestions, see "FROM THE MODERATORS: Posting to misc.invest.financial-plan", a weekly post now on the Newsgroup.

Vote
Twitter Facebook LinkedIn

Join the Discussion

Have something to add? Share your thoughts — no account required.

Didn't find your answer?

Ask the community — no account required