A Look at Finra-Overseen Securities Arbitration

As an investor, how do you resolve a material dispute with your financial adviser and/or securities brokerage? Where do you turn for help if you reasonably suspect that one or more professionals you justifiably rely upon have defrauded you through illegal behavior?

The offices of an established law firm might logically be your go-to venue for addressing that wrongful conduct and to pursue a meaningful remedy. An experienced legal team of proven securities attorneys can help you determine the optimal forum for deciding a securities-linked dispute.

Shepherd, Finkelman, Miller & Shah lawyers routinely represent individual and institutional investors across the country with passion and diligence in their grievances citing bad-faith of individuals and firms tasked with responsibly managing investments. We note on a relevant page of our website that we devote a fair chunk of our practice to bringing clients’ claims before arbitration panels of the Financial Industry Regulatory Authority.

Pursuing justice through FINRA arbitration can sometimes be an attractive alternative to litigation, for a number of reasons. Arbitration is frequently a quicker process, as well as a cheaper one (caveat: that is not always the case). Moreover, it can provide an element of privacy that lacks in a courtroom proceeding. And its atmosphere is generally less rigid and formal than what features under the watchful eyes of a judge.

In fact, FINRA arbitration is the mandatory process for resolving the grievances of an investor with claims against a FINRA member. Notably, nearly all brokers and investment firms in the United States are regulated by the authority.

The claims that a seasoned pro-investor securities attorney can pursue in arbitration are many and diverse. They range from excessive trading and inappropriate investing to fraudulent misrepresentation and unauthorized actions.

Questions or concerns regarding securities fraud or related wrongdoing can be directed to a law firm with broad-based experience representing clients in FINRA recovery actions.

A Message to Our Clients About Coronavirus COVID-19:

A Message to Our Clients About Coronavirus COVID-19

At Shepherd, Finkelman, Miller & Shah, LLP, we view the safety and well-being of our clients, staff and business partners as our highest priority.

The situation regarding the COVID-19 virus is continually changing, and we are following all recommended guidelines to stay healthy. As a result, our lawyers and staff are working remotely in accordance with the CDC's recommendations. We continue to work for all of our clients and are happy to arrange for phone or video consultations. We are also able to exchange documents via secure drives or email.

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Thank you and take care.