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Securities Arbitration

Securities arbitration is how most disputes between investors and their brokers/brokerage firms are resolved. Silver Law Group represents individual and institutional investors in such proceedings across the country and globally. Our team of highly-experienced attorneys has collectively recovered hundreds of millions of dollars on behalf of aggrieved clients through the arbitration process.

Securities arbitration affords customers considerable advantages. The process is considerably more expeditious, less costly, and less burdensome than court litigation. Though arbitration is often perceived to be an informal process, securities arbitrations are actually highly specialized proceedings. With nearly 70 combined years of practice in this field, our attorneys use their knowledge, creativity, and experience to devise an individually-tailored approach to each client’s case as a way to maximize each client’s opportunity to recover his/her losses.

Investor disputes concerning investment losses for accounts held with brokerage firms are resolved through a forum established by the securities industry known as the Financial Industry Regulatory Authority (FINRA). FINRA was formed on August 6, 2007, to combine the regulatory efforts of the New York Stock Exchange (NYSE) and National Association of Securities Dealers (NASD). FINRA is charged with the responsibility to resolve disputes between public investors, member firms and firm employees. FINRA is subject to oversight by the Securities Exchange Commission (SEC). FINRA establishes rules and regulations for the standards of care required for the handling of customer accounts. These rules and regulations are promulgated by the Code of Conduct which each member firm is required to comply with as a condition of membership. Failure to comply with the FINRA Rules of Conduct can result in sanctions and penalties.

Investor disputes concerning investment losses for accounts managed by Registered Investment Advisors (RIA) are resolved through forums specified and consented to in the Investment Advisory Agreement between investor and the RIA. RIAs are supervised either by state regulators or the SEC depending on the total amount of combined client assets under management.

We have successfully prosecuted claims against brokerage firms and registered investment advisers in arbitration forums including:

  • The Financial Industry Regulatory Authority (FINRA)
  • The American Arbitration Association (AAA)
  • Judicial Arbitration and Mediation Service (JAMS)
  • National Futures Association (NFA)

At Silver Law Group, we typically handle arbitration cases on a contingency fee basis, meaning if no money is recovered from your claim, you will owe nothing to our firm for attorney’s fees. Accordingly, we only pursue claims where we believe there is a reasonably high probability of success.

 

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