FINRA Arbitration Lawyer

Stock losses can have a devastating impact on your life, but you have options if your broker is responsible due to misconduct. Speak with a FINRA arbitration attorney for help seeking financial recovery.

Reporting your stockbroker for fraud to the Financial Industry Regulatory Authority (FINRA) may be necessary if you have endured significant investment losses due to their fraudulent activities. Although you should be able to trust that your financial advisor has your best interests at heart, they can and do often get away with taking advantage of investors to further their own financial interests.

Fortunately, if you are able to prove during FINRA arbitration that you have been defrauded, you may be able to not only recover your losses, but also ensure that the broker’s BrokerCheck record reflects their misconduct accordingly. This could prevent other investors from being wronged in the future. Get help with your complaint by reaching out to a qualified FINRA arbitration lawyer at Wolper Law Firm. 

Types of Fraud FINRA Arbitrates

You’re struggling to cope with significant stock losses, but you may not be sure whether you’ve been defrauded and have a case. FINRA is responsible for dealing with cases of stockbroker misconduct and customer disputes, but some types of fraud happen more frequently than others. These are listed below.

• Selling away
• Lack of diversification
• Unsuitability
• Excessive trading
• Failure to supervise
• Investing on margin
• Misrepresentation
• Unauthorized trading
• Omission

If you are the victim of any of the previously mentioned types of stockbroker misconduct, or if you have been taken advantage of by your stockbroker in another way, you may be entitled to financial restitution through FINA arbitration. Your attorney can carefully review the details of your case to determine what legal options may be available to you. 

The FINRA Arbitration Process

Once you have determined that you have been defrauded, you can initiate a FINRA arbitration complaint. From there, you’ll be given a hearing and your lawyer will work diligently to build a powerful case with evidence to support your complaint. 

In the hearing, both sides will present the evidence they have to support their cases. Once the arbitrators have heard your case, they will conduct an in-depth review of the case to determine whether fraud occurred and how much you may receive if wrongdoing is proved.

Get Help from a Qualified FINRA Arbitration Attorney

If you are ready to hold your stockbroker accountable for defrauding you and are interested in learning more about how an experienced FINRA arbitration lawyer at Wolper Law Firm could help, come in for a free consultation. 

We offer wronged investors across the country no-cost case reviews to learn more about your potential arbitration hearing. Take advantage of this opportunity by calling our office at 800-931-8452 or submitting the brief contact form below.