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Many customers sign an arbitration agreement when they open an account.
If they signed an arbitration agreement the forum to litigate the matter will be through some type of arbitration forum. If an arbitration agreement was not signed the customer might have the option to litigate in the courts or by arbitration. The majority of cases are heard by an arbitration panel. Mr. Harrison served as in-house counsel to the brokerage firm Morgan Stanley Dean Witter where he resolved allegations regarding stockbroker wrongdoing. Mr. Harrison was formerly series seven licensed when he worked as a broker at Shearson Lehman Brothers.