FINRA Arbitration

Arbitration clauses are standard practice in the securities industry and most disputes between broker-dealers and investors are usually brought before FINRA for arbitration. Arbitration is an alternative dispute resolution forum that is binding on both parties. FINRA Arbitration differs from a judicial proceeding in a variety of ways. Some of the main differences are that arbitrators: (1) are not bound by legal precedent, (2) often don’t issue an “opinion” when there is an award, (3) can create equitable remedies as they see fit, and (4) the rules of evidence that are followed in the court system are not binding and are not strictly enforced.

Our securities lawyers represent both firms and individual employees or investors in FINRA arbitrations for claims ranging from:

  • Employment termination; Promissory Notes, Employee Forgivable Loans (EFL’s), CRD Expungement,
  • Churning,
  • Unsuitable investments,
  • Failure to supervise,
  • Unauthorized trading,
  • Omissions,
  • Failure to execute,
  • Breach of contract,
  • Misrepresentation,
  • Failure to execute, and
  • Other actions for fraud and breach of fiduciary duty.
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