From Your Perspective:
Mediation & arbitration
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MEDIATION & ARBITRATION
1. Mediation & arbitration
2. Direct resolution
3. Reporting to the compliance department
4. Mediation
5. Arbitration
6. Arbitration vs. mediation
7. Litigation
 
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Direct resolution

Before you begin going through third parties to negotiate a settlement, the first step you should take is to address the problem directly by talking to your adviser. Most problems are solved this way.

However, if you’re not satisfied after speaking directly to your adviser, you can complain to your adviser’s manager, in writing or in person. You’ll want to provide the manager with a written explanation of your complaint and copies of any documentation you have.
Helpful hints
It’s smart to keep all the material your adviser sends you and to log any conversations you have, including what you discussed and what decisions you made. You may even want to send a letter or an email after every phone conversation confirming the information and advice you’ve been given. The more documentation you have, the stronger your case will be if there’s a misunderstanding.
         
   
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