Experienced FINRA Attorney

If you have lost an unusual amount of money in an investment, or your broker or advisor did something that wasn’t in your interests or gave you bad advice, you may need an attorney experienced with the Financial Industry Regulatory Authority (FINRA) Arbitration. It’s not always clear whether a case should be best handled by the courts or by FINRA Arbitration; we are specialists in both areas can advise you on which is likely to benefit you the most. Click here for a free consultation.


Top-Rated FINRA Arbitration Attorney

We have recovered over $100MM from unauthorized or excessive trading, unsuitable investments, broker churn, and other investment fraud issues. (See Case Studies for examples). An extra advantage that we bring to clients in the FINRA arbitration process is our experience and relationships with the brokerage insurance industry. Since settlements are often deeply influenced by insurers’ willingness to pay, our knowledge, contacts, and experience has given out clients a major advantage in the FINRA process.

What does FINRA Arbitration Cost?


As an alternative to an investment fraud lawsuit, FINRA Arbitration is usually a significantly shorter and less expensive process. However, the processes are not at all the same, and it’s important to have a FINRA Arbitration lawyer who is experienced in both the financial aspects of investment fraud and FINRA Arbitration procedure.

We offer a contingent fee structure on qualified cases. That means that we don’t succeed unless you do, so you can be sure of having top-quality FINRA Arbitration attorneys in your corner, fighting as hard as you would to make sure you get justice.

What Cases can a FINRA Arbitration lawyer handle?

Most brokers and brokerage firms are part of FINRA, which means that they have to participate in FINRA Arbitration if a claim is filed. Generally, you can file claims for actions up to six years in the past, but this can vary depending on the details of your situation. Claims cover issues like:

  • Unauthorized trading (investments bought and/or sold without your permission)

  • Inappropriate investments for your particular circumstances

  • Excessive trading (also called broker churn) to drive up fees

  • False statements or omissions about what exactly is in or has happened to your portfolio

  • Excessive risk-taking without authorization

  • Financial and broker fraud generally

Whether your losses are best resolved with a top-quality FINRA lawyer or FINRA law firm pursuing the arbitration process or whether you’d be better served with a traditional investment fraud lawsuit, we are here to help.

You have two options for how to proceed:

1 - Contact Us for a free, private and confidential consultation

2 - Use the Online Case Evaluation Tool below. Answer a few questions (under two minutes) and get an assessment of the potential value of your claim.

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