Disputes involving trades and transactions effected by a broker-dealer are nearly always covered by an arbitration provision that requires the parties to resolve their dispute before a Financial Industry Regulatory Authority (FINRA) arbitrator or panel of arbitrators.
We have represented broker-dealers in the defense of hundreds of these types of claims. On occasion, we have also represented aggrieved investors.
We are familiar with the unique rules, limitations, benefits, and tactics this forum provides. Our experience and knowledge provides us with the ability to handle these cases efficiently and effectively and achieve the best results for our clients.