Resolute has released a new set of arbitration rules tailored specifically to disputes between individual investors and their investment advisors. Unlike traditional consumer arbitration rules that broadly govern disputes between consumers and businesses, Resolute’s new rules focus on the unique dynamics of the investor-advisor relationship. This specialized framework is designed to provide a more precise, efficient and fair process for resolving conflicts involving investment advice, portfolio management and related financial services.
Key features of the new rules include:
- Alignment with financial services disputes – Case initiation, discovery, motion practice and hearing procedures are structured around the documentation, complexity and timelines typical of advisory matters.
- Industry-aware neutrals – Access to arbitrators with experience in securities, investment advisory and financial services, helping ensure that the products, standards and regulatory context are properly understood.
- Efficiency and predictability – A framework aimed at timely, cost-effective resolution, with clear expectations for all participants.
The new arbitration rules for disputes between individual investors and investment advisors are now in effect and can be accessed at: Rules/Clauses • Resolute Systems
About Resolute
Established in 1988 with offices throughout the country, Resolute has a national panel of 2,800 neutrals and administers thousands of cases each year nationally. Resolute was voted the #1 ADR Provider and Top Online ADR Resource in the nation in the National Law Journal for seven consecutive years (2019-2025). For the past seventeen consecutive years Resolute has been voted a “Top Overall ADR Provider” in the New York Law Journal. Resolute has also been named “ADR Provider of the Year” by the American College of Civil Trial Mediators and ranked the 66th fastest-growing company by Inc. magazine (13th Annual Edition).
For more information please call (800) 776-6060.
