Arbitration

Arbitration

Whether you are fighting your former employee over a promissory note or a former client over investments in their portfolio, our team of experienced attorneys are here to fight back.  The arbitration process can be a long and burdensome process with multiple prehearing conferences, discovery requests, and motions.  Our attorneys have experience fighting for financial advisers and getting results, including FINRA, AAA, JAMA, and other arbitration forums.

Did you know? If you want get an expungement, you have to go through the arbitration process.  Unless expungement was requested during your dispute with your client or employer, you will have to initiate an arbitration to start the expungement process.

Did you know non-FINRA member investment advisers can elect to have FINRA arbitrate industry and client complaints?

We routinely defend advisers and their firms in disputes with investors with who claim:​

  • Churning
  • Unsuitability
  • Unauthorized trading
  • Fraud
  • Negligence
  • Breach of fiduciary duty
  • Breach of contract
  • Material misrepresentation or omission
  • Failure to supervise
  • Violation of Rules, acts, or laws

Our attorneys have defended hundreds of arbitrations initiated by customers and have successfully protected advisers and their firms from bogus claims.

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