FINRA Arbitration & Securities Disputes

Our securities practice represents investors in arbitration proceedings before the Financial Industry Regulatory Authority. When brokers or brokerage firms cause investment losses through misconduct, we pursue recovery through FINRA's dispute resolution forum.

WE ARE EXPERTS IN:

Broker Misconduct: Pursuing claims for unsuitability, churning, unauthorized trading, overconcentration, and misrepresentation by financial advisors who prioritize commissions over client interests.

Failure to Supervise: Holding brokerage firms accountable when they fail to monitor their registered representatives, allowing misconduct that causes investor losses.

Elder & Retirement Account Exploitation: Protecting senior investors and retirement savers from unsuitable recommendations involving annuities, 401(k) rollovers, and high-risk products inappropriate for their financial situation.

Arbitration Representation: Managing the FINRA arbitration process from case evaluation and claim identification through filing and presenting the case to the arbitration panel.