FINRA Arbitration

We represent investors and financial professionals in FINRA arbitration and related regulatory disputes. Our practice is focused on resolving complex securities matters efficiently and strategically, whether through arbitration, mediation, or regulatory proceedings.

We handle claims involving unsuitable investment recommendations, material misrepresentations or omissions, breach of fiduciary duty, excessive trading (churning), unauthorized trading, and failures in supervision or compliance by brokerage firms and financial institutions. These disputes often arise from retail and institutional investment accounts, including disputes involving equities, options, alternative investments, private placements, and managed accounts.

Our representation includes guiding clients through all stages of the FINRA arbitration process—from pre-filing analysis and claim development to hearings and post-award considerations. We work closely with clients to assess risk, develop a clear case strategy, and present claims or defenses grounded in the applicable securities laws, FINRA rules, and industry standards.

We also advise registered representatives and associated persons in disputes with broker-dealers and financial institutions. This includes compensation and commission disputes, employment-related claims, contract and restrictive covenant issues, and regulatory matters before FINRA, including investigations and disciplinary proceedings. We understand the professional and reputational stakes involved and approach these matters with discretion and practical judgment.

Our goal in every FINRA matter is to provide clear guidance, disciplined advocacy, and realistic counsel, helping clients navigate a highly regulated and specialized forum with confidence.

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