Your Advocate in
FINRA Arbitration

We provide legal representation for a variety of claims brought through the FINRA arbitration process. Whether you are an investor who lost money as a result of stockbroker misconduct, or a mistreated employee of a FINRA registered broker, our law firm can help you recover the damages to which you may be entitled.

Securities Arbitration News

Our Mission

Our mission is to provide the highest quality legal representation to help you recover losses resulting from misconduct or negligence by a FINRA registered representative or firm. Depending on the case, you may be entitled to representation on a purely contingent basis, which means that we waive our fees if you do not recover any damages.

Feel free to contact us to discuss your case.

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Claims that can be Filed Through FINRA Arbitration

  • Churning
  • Failure to Supervise
  • Unsuitability
  • Breach of Contract
  • Breach of Fiduciary Duty
  • Misrepresentation
  • Negligence
  • Omission of Facts, and other

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What is FINRA Arbitration?

Arbitration is a method of resolving a dispute between two or more parties by neutral, qualified individuals, who serve as decision-makers after weighing the facts of each case presented. The decision-makers are called arbitrators. Arbitration of securities disputes against brokerage firms, brokers, or both provides a prompt and inexpensive means of resolving issues. There are certain laws governing the conduct of an arbitration proceeding. The most important of these is perhaps the fact that an arbitration award is final and binding, subject to review by a court only on a very limited basis. Parties should also recognize that arbitrating their claims precludes them from pursuing the same claims through the courts.