FINRA Arbitration

Shepherd, Finkelman, Miller & Shah, LLP (SFMS) devotes a significant portion of its practice to securities arbitrations and related proceedings before FINRA (the Financial Industry Regulatory Authority). FINRA arbitration is the manner in which most disputes between investors and their brokers/brokerage firms are resolved. SFMS has a long and accomplished history of representing individual and institutional investors in FINRA proceedings throughout the United States and the world. SFMS’s team of attorneys has recovered hundreds of millions of dollars on behalf of aggrieved clients through the arbitration process.

We have extensive experience in securities litigation and regulation, including securities arbitrations. Through our office in Fort Lauderdale, Florida, SFMS has successfully represented many retirees who suffered losses in their retirement portfolios. With multiple offices in California, on the East Coast and throughout the United States, SFMS is equipped to address the full spectrum of FINRA cases nationwide.

Arbitration Of Losses From Securities Fraud And Inappropriate Investments

SFMS has significant experience handling disputes between brokers and other investment professionals and their firms, investors and financial brokers, brokerage firms and registered investment advisors. In addition to a nationally recognized Form U-5 defamation practice on behalf of injured investment professionals in which the firm has recovered tens of millions of dollars, SFMS has experience representing individual clients and institutional investors in FINRA matters relating to the following kinds of losses:

  • Excessive trading (fee “churning”)
  • Financial fraud against elderly or disabled persons
  • Imprudent or unauthorized investment strategies
  • Misrepresentation or material omissions regarding securities
  • Over-concentration in individual securities or investment products
  • Switching practices between mutual funds or variable annuity contracts, against client interests
  • Unauthorized or imprudent changes in portfolio composition

SFMS believes that, for appropriate cases, FINRA securities arbitrations can be the best way to remedy investor and other losses in an expeditious and efficient manner. Our attorneys’ extensive familiarity with the rules and procedures of FINRA arbitration helps us present the relevant facts and arguments to position our clients for a favorable resolution.

As a reflection of its varied and multi-disciplinary approach to FINRA proceedings, SFMS also has significant experience representing investment professionals in “on-the-record” interviews and disciplinary proceedings. Finally, for select clients, SFMS also defends certain FINRA arbitration proceedings and related matters.

If you believe you were defrauded in your investments, or if you suspect a broker or investment advisor took advantage financially of an elderly adult in your family, contact SFMS online or call 877-891-9880 to explore your potential remedies with one of our experienced lawyers. We handle FINRA cases nationwide.