FINRA Arbitration

Investor Arbitration Practice

Individuals losing money because of misconduct by brokers or other investment professionals may have the option of trying to recoup their losses by pursuing arbitration through the Financial Industry Regulatory Authority (“FINRA”). FINRA operates the largest dispute resolution forum in the securities industry, and adjudicates disputes between financial professionals and their clients.  

Finkelstein Thompson represents investors in these proceedings.

Unscrupulous financial advisors and brokers victimize investors in many ways.  For example, financial professionals may commit securities fraud (where the broker misrepresented what he was selling), recommend unsuitable investments (for example, selling excessively risky investments), engage in churning (trading without permission to generate excessive commissions), trade without authorization, or simply neglect clients and their accounts.

Because of the high stakes and complexity of FINRA proceedings, clients often need the advice and guidance of a skilled attorney.  Finkelstein Thompson attorneys have decades of experience representing investors, and the firm has recovered hundreds of millions of dollars for investors.  Finkelstein Thompson’s clients often retain the firm on a contingency basis, meaning the client bears no out-of-pocket costs other than a percentage of any recovery achieved.

If you are an investor and believe your financial advisor victimized you, please contact us or fill out our online form for an evaluation of your options.