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Securities Arbitration
Are most security fraud claims resolved in trials or another process like arbitration?When a potential clients come to me with a problem with their investment portfolio, they…
Can an investor who has been abused by a brokerage firm sue in court?Brokerage firms and financial advisers are regulated by FINRA, a quasi governmental agency that oversees…
Can FINRA arbitration rulings be appealed?FINRA arbitration is intended to be final and binding on all of the parties involved.…
Can arbitration rulings be appealed?FINRA arbitration is intended to be final and binding on all of the parties involved.…
Can I be awarded attorney’s fees in FINRA arbitration?Under the American rule of law, attorney's fees are generally only available if there is…
Do cases settle before arbitration?Statistically speaking, many cases do settle before the final hearing in the case. Many cases…
Do securities cases settle prior to arbitration?Many security arbitration cases settle before the final hearing. We have been able to resolve…
Does a defrauded investor have a right to file a lawsuit?A defrauded investor has a right to pursue a claim against both the issuer of…
Does FINRA arbitration allow for multiple claimants in one case?Over the years, we have been retained by victims of a particular investment advisor or…
How are FINRA final hearings conducted?FINRA final hearings are the functional equivalent to the investors day in court. This is…
How can an attorney help me in securities arbitration?One of my favorite sayings about lawyers is that you want two of them. One…
How common is FINRA arbitration?Although every customer who opens up a brokerage account agrees to submit any dispute to…
How do I begin a FINRA arbitration claim?The FINRA arbitration claim is governed by the FINRA code of arbitration, which lays out…
How does the FINRA arbitration process work?FINRA is intended to be a faster, more expeditious process than pursuing a claim in…
How long is the securities arbitration process?A securities arbitration is generally meant to be faster and more expeditious than court. From…
What are punitive damages?Punitive damages are the type of damages that are available in a case to punish…
What can I expect at an arbitration hearing?The arbitration is generally intended to serve as the equivalent to your day in court.…
What do I need to know prior to arbitration?You need to know that you have the faith and confidence in your counsel to…
What does suitability mean, in reference to FINRA?Wall Street has lobbied hard over the years to avoid being regulated by a fiduciary…
What is and how does alternative dispute resolution work?Alternative dispute resolution is intended to serve as an alternative to filing a lawsuit. Many…
What is arbitration?Arbitration is an agreement between two parties to try and resolve any disputes between them…
What is FINRA arbitration?FINRA, the Financial Industry Regulatory Authority, is a quasi-government agency which regulates the brokerage industry.…
What is mediation?Mediation is a fancy term for a settlement conference. It's when the parties through a…
What is the FINRA arbitration discovery process?Arbitration is generally expected to be faster and more expedious than a court case. The…
What is the statute of limitations on bringing a securities fraud claim?That statutes of limitations on bringing a securities fraud claim varies depending upon the causes…
Are securities governed by federal or state law?Securities are governed by both federal and state law and regulated by various different governmental…
