Securities Litigation and FINRA Arbitrations

On a selective basis, our firm represents securities brokerage clients and registered representatives in arbitrations before the Financial Industry Regulatory Authority (“FINRA”).  Arbitration is typically required by standard provisions of customer accounts and employment agreements used by the securities industry. Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, brokerage customers may soon be allowed to elect between court and arbitration. Given the breadth of our commercial litigation practice, and depth of our courtroom experience, we are prepared for that change.

 

  

 

 

The material on this website is not provided as legal advice.  The cases mentioned on this website are illustrative of the matters handled by the firm and do not include all prior cases or results.  Results in any case depend upon a variety of factors unique to each case.  Prior results do not guarantee a similar outcome in any future case.