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FINRA and FINRA Arbitration Lawyer

Significant investment losses are always difficult to accept and are particularly harmful when the losses are caused by the wrongdoing of your brokerage firm or stockbroker. If this was the case, you may file a Financial Industry Regulatory Authority (FINRA) arbitration request to recoup the repayment you deserve.

FINRA is responsible for the regulation and conduct of brokerage firms and stockbrokers. While there are inevitably risks when you choose to invest, your financial advisors should not be responsible for further risks you might be exposed to. Attorney Tom is prepared to hold the at-fault parties accountable and fight for the compensation you deserve for your investment losses.

Attorney Tom provides skilled and experienced legal counsel for FINRA arbitration matters. At Attorney Tom, our FINRA attorneys have the skills, knowledge, and resources to fully understand all the intricacies involved with this complex field of law. The FINRA lawyers at Attorney Tom are ready to help you achieve the best possible outcome for your situation. Call (713) 244-6363 today to schedule a free initial consultation, during which we can evaluate your case.

What is FINRA and FINRA Arbitration?

FINRA stands for Financial Industry Regulatory Authority. FINRA, which succeeded the National Association of Securities Dealers, Inc., is a private corporation that serves as a self-regulatory purpose. FINRA is also a forum for arbitration and mediation, which are two ways of resolving business disputes between investors, brokerage firms, and individual brokers.

Arbitration allows parties to reach a resolution without the need for formal mediation. The arbitration process usually includes up to three arbitrators who the investors in the dispute choose. An arbitrator’s role is to listen to arguments, analyze the evidence, and offer an outcome. With FINRA arbitration proceedings, the award is a legally binding and final decision. The parties may appeal the decision in court if the arbitrator failed to uphold legal duties, if the arbitrators made the decision based on fraud, corruption, or duress, or if the decision was irrational.

Filing a claim is the first step in the FINRA arbitration process. This is known as the “Statement of Claim.” If you feel that you have been the victim of broker fraud, misconduct, or you were involved in another dispute related to investments, you are the “claimant.” The Statement of Claim includes important details, such as names of the firm or brokers involved, the date when the wrongdoing occurred, as well as the relief that is requested in regard to damages.

There are fees and other required forms, including the Submission Agreement, that must be paid and submitted upon filing. Accurate filings and damages calculations are important in recovering financial compensation. This is why it is critical that you are represented by a skilled attorney who has extensive experience in handling FINRA cases. With FINRA arbitration, a panel of arbitrators decides the claim and award damages.

Why do I need a FINRA Lawyer?

An experienced FINRA attorney can help you with all aspects of your case, including but not limited to:

  • Thoroughly review the details of your case
  • Determine whether you have a viable claim for arbitration
  • Serve as a third-party representative and provide legal advice to help you meet your goals
  • Prepare for FINRA arbitration
  • Establishes a relationship of trust that can lead to better decision-making.
  • Pursue compensation for your losses

It requires considerable financial and legal skills and acumen to be successful in FINRA securities arbitration. Many lawyers have not studied the nuances associated with financial securities laws and regulations. In order to win before FINRA arbitrators, the case needs to prepared as if it was going to trial. It also helps if the lawyer representing the investor understands the types of evidence that will likely be admitted and which arguments will be most effective.

The dedicated securities arbitrations lawyers at Attorney Tom offer a financial acumen and legal tenacity, as well as practical experience. Our lawyers have won countless cases for clients because we go in well-prepared and with a thoughtful strategy. We appreciate how dependent clients are on their investments for their financial security, and how losing those investments can be traumatic. We are proud to offer skilled and practical advice designed to help protect investor’s rights. 

Contact a FINRA Attorney Today

In many cases, pursuing arbitration via FINRA is the best way to make sure that you receive maximum compensation for the losses you experienced due to broker or firm misconduct. If you would like to learn more about how the highly skilled and experienced FINRA lawyers at Attorney Tom can help you with your case, schedule a free initial consultation by calling (713) 244-6363.




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