Experienced Counsel for Securities Disputes

FINRA (the Financial Industry Regulatory Authority) regulates securities firms doing business in the United States. Disputes between (1) investors and their securities firms, (2) investors and the stockbrokers (registered representatives), and (3) stockbrokers and their employers (securities firms) are generally governed by the FINRA rules and FINRA arbitration process.

We have handled hundreds of FINRA arbitrations on behalf of clients around the country. We are highly experienced in the FINRA arbitration process, and we can help when you need an experienced FINRA arbitration lawyer. If you are an investor, broker (registered-representative) or securities firm faced with a FINRA arbitration or disciplinary proceeding, contact us now for a free initial consultation.

Securities Arbitration

Dispute resolution process
with neutral third party arbitrators

FINRA Arbitration Forum

Representing investors, brokers and securities firms
in FINRA arbitrations nationwide

Regulatory Consulting Services

Helping you reduce litigation risk
and steer clear of regulatory issues

Representing Brokers

Dispute resolution process
with neutral third party arbitrators

Representing Investors

Reduce litigation risk and
steer clear of regulatory issues

Representation in
Regulatory Actions

Dispute resolution process
with neutral third party arbitrators

Counsel to Law Firms

Helping with securities law matters,
particularly FINRA and SEC matters