FINRA Securities Arbitration. National Practice. Contingent Fee. We do not get paid unless we make a recovery for you.
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Our Attorneys Help Victims of Securities and Investment Fraud
Investors who have been victims of securities fraud need the guidance of an attorney they can trust. We fight tirelessly for the rights of our clients to ensure that justice is served.
When can you file a claim against a Stockbroker or Financial Advisor?
DEFECTIVE FINANCIAL PRODUCTS
DEFECTIVE INVESTMENT ADVICE
Claims Against a Stockbroker or Financial Advisor
Significant losses in your brokerage account may be a sign that your stockbroker or financial advisor acted inappropriately and you may be entitled to recover those losses. Our attorneys are experienced in recovering investment losses cause by defective investment advice and the sale of defective financial products. We have decades of experience representing investors in court and in FINRA arbitrations throughout the country. If you believe that you may be the victim of investment fraud or stockbroker misconduct, please contact us for a free, confidential evaluation of your claims.
What is a FINRA case?
Legal claims by investors against stockbrokers and securities broker-dealers are required to be adjudicated or decided in securities arbitration before the Financial Industry Regulatory Authority or FINRA. FINRA securities arbitration is litigation. Except having your case decided by a judge or jury, the adjudication of securities claims are determined by a panel of FINRA Arbitrators. Instead of filing a complaint in court, in FINRA securities arbitration, the plaintiff or claimant files a Statement of Claim. The respondent or defendant will file an Answer. The parties are afforded discovery, including certain presumptively discoverable categories of documents and information under the Rules, and ultimately, the matter is adjudicated at a trial or final hearing, where parties make opening and closing statements, examine witnesses and introduce evidence. The panel issues an Award or judgment, which unlike court proceedings, is virtually unappealable.