If your dispute is with a FINRA-member broker-dealer, you almost certainly agreed to arbitration when you opened the account. That means your claim is decided by a FINRA arbitration panel, not a court. We represent investors — never the firms — in FINRA Dispute Resolution proceedings nationwide.
FINRA arbitration exists to resolve customer disputes against member broker-dealers and their registered representatives. The strongest claims are grounded in specific, documented conduct — not disappointment with performance.
Investments that did not match your objectives, time horizon, liquidity needs, or risk tolerance under FINRA Rule 2111 and Reg BI — including illiquid alternatives sold to retirees and complex products sold to unsophisticated investors.
Misstatements or omissions of material fact in the sale of a security under FINRA Rule 2020 — misrepresented risk, inaccurate returns, undisclosed liquidity restrictions, or mischaracterized fees.
Trading driven by the generation of commissions rather than the customer's interest, measured by turnover and cost-to-equity ratios in the account's own trade history.
Claims against the broker-dealer under FINRA Rule 3110 for failing to supervise the representative, review the account, or act on red flags in its own compliance records.
FINRA arbitration follows a defined path. Understanding it early lets us build the record and position the claim before the first filing.
The proceeding begins with a statement of claim describing the conduct, the rule violations, and the damages. Arbitrator selection follows from FINRA's neutral list.
FINRA's discovery rules require production of specified documents. The firm's own records — supervisory files, compliance correspondence, and internal notes — often substantiate the customer-facing record.
Many matters resolve at mediation before a final hearing. We prepare for hearing as though mediation will fail, which is frequently what produces a favorable settlement.
A panel hears the evidence and issues an award. FINRA awards are final and binding, with very limited grounds for appeal, and member firms are required to pay them promptly.
Initial inquiries are reviewed personally and treated as confidential whether or not we ultimately work together. We respond to substantive case inquiries within one business day. There is no cost or obligation associated with the initial review.
Florida-based, available nationally for court, AAA, and FINRA matters across the United States.