MANAGING CUSTOMER‐BROKER CONFLICT IN THE SECURITIES INDUSTRY Available to Purchase

Considerable controversy has arisen in recent years over the management of customer‐broker conflict in the securities industry. Attention has been focused on the supposed voluntariness and neutrality of the conflict management processes. Arbitration, which is the standard form of conflict management in the securities industry, has received particularly strong criticism. This article explains the basis for customer‐broker conflicts, the controversy surrounding the use of arbitration as a means of conflict management, and the case law regulating securities disputes.