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This document represents the award issued by the arbitration panel regarding the dispute between Alan M. Grayson and AMG Trust against Wachovia Securities, Inc. It details the claims made by the claimants,
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How to fill out FINRA Dispute Resolution Award

01
Begin by gathering all relevant documentation related to the dispute.
02
Clearly state the names and contact information of all parties involved.
03
Provide a detailed description of the dispute, including dates and key events.
04
Outline the relief or resolution you are seeking in the dispute.
05
Indicate any applicable rules or agreements that pertain to the dispute.
06
Sign and date the form to confirm the information is accurate and complete.

Who needs FINRA Dispute Resolution Award?

01
Individuals or entities involved in disputes regarding securities or financial services.
02
Investors seeking resolution for disputes with brokerage firms or financial advisors.
03
Registered representatives or financial institutions involved in conflicts requiring formal resolution.
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People Also Ask about

Once an arbitral award is confirmed, the judgment is docketed, which means that it has the same force and effect as any other civil judgment. In most cases, arbitration awards are confirmed and entered as judgments without adverse party opposition.
FINRA Arbitration Filing Fees Currently, the filing fees for FINRA arbitration are: Claim for up to $1,000: $50. Claim for $1,000.01 to $2,500: $75. Claim for $2,500.01 to $5,000: $175.
In fact, there are two ways of going about setting aside an arbitration award: by Labour Court review or by rescission application.
There is no clear definition of the notion of award. 3. However, in ICSID arbitration, it is generally accepted that a distinction exists between decisions and awards. In a nutshell: “The issuance of a decision signals the continuation of a proceeding, whereas an award marks the end of a proceeding”.
As an arbitrator on the FINRA Dispute Resolution roster, am I entitled to compensation for my service? A. Yes, arbitrators are compensated at the rate of $300 per hearing session, with an additional $125 per day if acting as Chairperson at the hearings on the merits. Q.
The average salary for an arbitrator in California is around $108,140 per year.

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The FINRA Dispute Resolution Award is a decision made by an arbitration panel in a dispute involving member firms, associated persons, and customers of FINRA, resolving issues related to securities and investments.
Any party involved in a dispute that has been arbitrated and has received a decision must file the FINRA Dispute Resolution Award for it to be recognized and enforceable.
To fill out a FINRA Dispute Resolution Award, parties must provide detailed information about the case, including the names of the parties, the arbitrators involved, the date of the hearing, the decision reached, and the rationale behind the decision.
The purpose of the FINRA Dispute Resolution Award is to provide a final and binding resolution to disputes that arise within the securities industry and to facilitate fair treatment in the resolution process.
The FINRA Dispute Resolution Award must report information such as the names of the parties, case number, type of dispute, findings, award amount, and any reasoning provided by the arbitrators.
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