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FINRA Arbitration

Experienced & Aggressive Advocates

FINRA (the Financial Industry Regulatory Authority) is a non-governmental self-regulatory organization authorized by Congress to regulate brokerage firms. FINRA arbitration is the means by which most disputes between investors and brokerage firms are adjudicated.

Investor Claims

Our attorneys have defended the largest broker-dealers on Wall Street in high-stakes customer and industry FINRA arbitrations. We have also recovered millions for investors in securities disputes. Our experience on both sides of the table enables us to quickly assess and evaluate claims and determine the best and most cost-effective dispute resolution strategy.

We have successfully arbitrated every type of customer-initiated securities claim, including allegations of churning, unauthorized trading, overconcentration and unsuitable recommendations, as well as more complex claims arising out of the sale of novel or complex products and Ponzi schemes. Our clients include broker-dealers, investment advisors, individual registered representatives, as well as investors and other market participants. Having represented all parties to various securities transaction, we are well-versed in the business environment, risks and variables confronted by all stakeholders.

Employment Disputes

Our lawyers are experienced in representing securities professionals and brokerage firms in employment, discrimination, compensation, commission and bonus disputes. We represent a wide range of Wall Street and other financial sector professionals and executives in the negotiation of employment and severance agreements and in FINRA arbitrations and other employment and partnership litigation, including:

  • Unpaid Compensation, Bonus & Commission Disputes
    We represent brokers in any compensation claim against a brokerage firm, including unpaid commissions and bonuses, as well as unpaid bonuses after termination.
  • Accuracy of FINRA Records
    We represent securities professionals in expunging false, misleading or defamatory information from their professional records. We can help in matters involving the accuracy of your U-4 and U-5 information.
  • Employment Claims & Discrimination
    You may have additional employment claims, including breach of contract, wrongful termination, discrimination, harassment, defamation and unpaid overtime pay.

Private Equity Fundraising & Compliance

Fund Formation
Private Offering Documents
Broker and Finder Compensation
Digital Currency & Blockchain Technology

FINRA Regulatory & Expungement Proceedings

CRD Expungements
U4 & U5 Reporting
Enforcement & Disciplinary Actions
Broker Transitions

Securities Litigation

Securities Fraud
Class Actions
Shareholder Derivative Actions
Whistleblower Claims

FINRA Arbitration

Employment Disputes
Customer Complaints
Industry Disputes

Other Practice Areas

International Business Litigation & Dispute Resolution

Real Estate & Land Use

Acquisition & Disposition
Commercial Leasing
Private Equity & Joint Venture
Hotel & Hospitality
Real Estate Finance
Land Use & Development

Senior Investor Protection

Securities Litigation
FINRA Arbitration
Pro Bono Legal Services

Securities Probate Disputes

Senior Financial Exploitation
Frozen Brokerage Accounts
Power of Attorney Abuse