Series 27: Predispute Arbitration Clause

Taken from our Series 27 Online Guide

Predispute Arbitration Clause

Form U4 contains a predispute arbitration clause that all employees must sign. By signing, the employee agrees to settle any disputes with member firms or customers by arbitration and to give up the right to sue in court. All associated persons must be given a disclosure document, which describes the arbitration process and arbitration rules.

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