Arbitration Lawyers

My RIA Lawyer vigorously defends clients during arbitration.


When a company becomes embroiled in a dispute with another company, a lawsuit may not always be an ideal solution due to its frustratingly protracted nature. The litigation process can linger on for years, with no end in sight, resulting in significant financial losses for both parties.


Furthermore, the contentious nature of the process can affect the trust between the companies, ultimately leading to the termination of profitable business relationships. Additionally, lawsuits can generate negative publicity, thereby increasing the financial burden on a company. This is where arbitration comes in.


Arbitration presents companies with a quick and confidential means of resolving contractual disputes, allowing them to continue with their business operations while ensuring that all parties receive a just outcome.


Therefore, when drafting a contract, it is always advisable to consult with a contract lawyer regarding the inclusion of an arbitration clause for dispute resolution. In the event of a dispute, an arbitration lawyer can assist in settling the matter through arbitration, yielding the most favorable result possible.

If an investor, broker, or brokerage firm has initiated an arbitration claim against you, you can’t help but worry. Your reputation is at stake, and even a flimsy claim can get a favorable ruling during arbitration due to the relaxed rules of evidence and restricted rules of discovery. Fortunately, you don’t have to navigate arbitration yourself. An arbitration lawyer can represent you against investor and intra-industry claims, ensuring that you have a well-mounted defense.

My RIA Lawyer specializes in arbitration defenses across various platforms. Whether you are facing FINRA, AAA, JAMS or some other dispute resolution venue, we are here to help. We understand that you have a lot on the line and need a vigorous defense to prove that you are not at fault. Contact our arbitration lawyer today to discuss your case.

What is arbitration

Arbitration is a conflict resolution method that disputing parties can use to resolve their issues rather than leaving their fate to the courts. This process requires mutual consent from both parties and is typically specified in the original contract.


Unlike court proceedings, arbitration allows for the choice of applicable laws, venue, and language, making it an attractive option for international disputes. Additionally, arbitration proceedings are confidential, ensuring that the details of the case remain private and avoiding any potential negative effects on the parties’ public image.


The process of arbitration generally involves the presentation of cases by both parties to a panel of arbitrators. These arbitrators are usually selected through a mutual agreement between the parties involved. Although less formal than court proceedings, each side is afforded the opportunity to present evidence, call witnesses, and provide testimony in a manner comparable to that of a court case.


The parties generally enlist the services of an arbitration lawyer to facilitate the process and ensure that the proceedings go smoothly. Following the submission of both sides of the case, the arbitrators deliberate and render a binding decision, though it is noteworthy that in certain circumstances, an appeal of the decision may be pursued.

Arbitration as a dispute resolution method can be applied to almost any situation where legal action may be taken. The decisions reached during arbitration can be enforced through the courts in the same way as a regular judgment. Although applicable to a wide range of legal disputes, arbitration is most commonly utilized in business-to-business (B2B) contracts, particularly in the context of international trade.

Reasons for Arbitration

Our law firm defends clients against various claims. Common customer claims include:

  • Churning
  • Fraud
  • Failure to diversify investments
  • Material misrepresentation
  • Negligence
  • Breach of fiduciary duty

Common intra-industry claims include:

  • Failure to pay promissory note
  • Breach of non-solicit agreement
  • Breach of non-compete agreement
  • Breach of partnership agreement
  • Fraud
  • Breach of contract
  • Breach of duty of loyalty and care

Potential Defenses

Your arbitration lawyer will evaluate the claim, review evidence, and build a defense. Often, claims are submitted without any wrongdoing on the advisor or firm’s part. Instead, investors become upset after losing money and want someone to blame. They hope that they will at least get a settlement out of it if they file a claim. In other cases, claimants have weak claims with little evidence. 

There are numerous defense options, and we will discuss the best strategy for your case after reviewing the evidence. Contact us today to learn more about how our arbitration lawyer can help you defend yourself against the claim.

Arbitration Process

Depending on the nature of the case, you’ll present evidence in front of a single arbitrator or a panel of three arbitrators. If the claim is for more than $100,000, your hearing will occur in person, with one of the arbitrators serving as the chair. On the other hand, if you are defending yourself against a small claim, arbitration can occur in person, over the phone, or by submitting documents.

The arbitrators will listen to the evidence and render a decision. Unlike mediation, the decisions made during arbitration are final. Although the court might agree to vacate the award in some circumstances, there is no formal appeal process. Because it’s challenging to change the outcome of the decision, hiring an arbitration lawyer is vital.

Mandatory Arbitration clauses

Contracts today often include mandatory arbitration clauses that require any disputes to be resolved through arbitration instead of the court system. This clause forces both parties to waive their right to bring the dispute to court, having instead agreed to resolve their conflict through arbitration. In essence, the parties have already consented to the use of arbitration as an alternative dispute resolution method.


However, the inclusion of these mandatory clauses in contracts has sparked a lot of debate since these clauses often favor the party with more power, particularly when it involves employees or consumers


Moreover, mandatory arbitration clauses that preclude class action are also unenforceable. This has led to the rejection of certain consumer contracts that contained such clauses

Arbitration Lawyer

Pros of Arbitration

Arbitration has become one of the most preferred conflict resolution techniques in recent years due to the multitude of advantages that come with its usage. Here are some of the significant benefits of arbitration:

A Less Confrontational Atmosphere


In arbitration, parties are often encouraged to collaborate on a resolution rather than engage in a combative legal process. This is particularly beneficial if you want to maintain a healthy business relationship with the other company.


The privacy offered by arbitration allows for disputes to be resolved without inviting public scrutiny, which may be particularly advantageous to companies seeking to protect their reputations.

Cost savings

Compared to litigation, arbitration is a far less expensive option. Although parties are still required to pay for legal representation and the cost of arbitrators, the more efficient process of arbitration often leads to fewer billable hours, making it a more affordable option in the long run. Additionally, because arbitration typically takes less time to resolve than a court case, parties can save on expenses such as travel and lodging.


Arbitration is also generally expedient, with the average case being resolved within a year of filing. This is in contrast to litigation, where a similar case could take several years to come to a final decision.


Arbitration procedures are more flexible than court procedures (for instance, evidence and witness list matters can be addressed through a simple phone call), which can allow parties to schedule hearings and other matters according to their availability. In contrast, court procedures are often inflexible, taking much longer to settle, and courts offer little scheduling flexibility.

What's the difference between arbitration and mediation

Arbitration and mediation are two procedures of resolving disputes outside of the court system, but they are not the same. Both are intended to avoid the need for formal litigation, but they differ in terms of their approach.


Mediation is a negotiation between parties that is not binding, and the mediator serves primarily as a facilitator. Mediation does not always result in a specific, binding solution to the dispute. In contrast, arbitration operates more like an informal court, with the arbitrator serving as a judge. The decision made in arbitration is typically final and binding.


Even though both arbitration and mediation are designed to resolve conflicts swiftly and confidentially, only arbitration can result in a binding outcome that one or more parties may not agree with completely.


In recent years, there has been increased scrutiny over the use of mandatory arbitration clauses in contracts. Such clauses have been deemed to unfairly favor larger companies and institutions over smaller consumers or employees who may be at a disadvantage in arbitration proceedings. As a result, the United States has taken steps to limit the use of mandatory arbitration.

Should all contracts contain arbitration clauses?

Adding to the above, it’s important to consider the potential downsides of mandatory arbitration clauses, such as limited appeal options, lack of transparency, and potential bias in favor of larger parties.

It may also be important to consider the nature of the dispute, the likelihood of it arising, and the relationship between the parties before deciding whether or not to include an arbitration clause in the contract. Ultimately, the decision should be based on the specific circumstances and the parties’ needs and preferences.

Reasons To Hire An Attorney

Hiring an attorney is critical when undergoing arbitration. While arbitration isn’t as complex as going to trial, there are still complicated regulations and laws that you must navigate. Also, the other side is likely to have legal representation. If you go in alone, you will have trouble presenting compelling evidence to defend yourself against the claim. This is especially true when there is anger and other emotions involved. Your arbitration lawyer will move beyond emotions and use facts and evidence to support your defense.

Choosing Arbitrators

Your arbitration lawyer can help you choose arbitrators for your case. After filing the claim, you will receive a list of arbitrators. Because My RIA Lawyer has so much experience in securities arbitration, our attorneys can help you select arbitrators who are most likely to be sympathetic to your defense. We can strike up to four arbitrators from the list and then rank the remaining arbitrators. This will put you in the position to reach the desired outcome during the arbitration.

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