Reclaim your financial future

Not all losses suffered in an investment account are your broker’s fault, but many times they can be. We will analyze your specific situation and advise you whether we think that your broker contributed to your losses as a result of negligent or intentional misconduct. If we determine that your broker was at fault, often the proper course of action is to file a FINRA Arbitration Proceeding against the broker and his/her firm.

FINRA is the “Financial Industry Regulatory Authority.” FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. It helps write securities rules and guidelines and enforces them in the U.S. FINRA also administers the largest arbitration forum (with more than 70 hearing locations) designed to resolve securities-related disputes between and among investors, securities firms, and brokers.

Investors can learn more about FINRA at www.finra.org

FINRA Arbitration is a legal proceeding designed to address disputes between investors and their brokers or the firms that employ the brokers. It is similar to a trial in court, but instead of having a judge and jury, your case is decided by one or more arbitrators. Arbitrators tend to be lawyers, accountants, professors, bankers, brokers, or other professionals. They review the law and evidence presented by the parties and render a final, binding award.

FINRA’s rules provide that the arbitration proceeding will take place at the FINRA location “closest to the customer’s residence at the time of the events giving rise to the dispute.” FINRA offers 72 hearing venues, including at least one in each state of the United States, one in San Juan, Puerto Rico, and one in London, UK.