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FINRA Dispute Resolution

If you have endured substantial investment losses and are interested in learning more about dispute resolution through the Financial Industry Regulatory Authority (FINRA), contact a qualified investment loss lawyer.

FINRA dispute resolution may be the right option for you if you have suffered devastating losses through the stock market or investment opportunities. However, not everyone is entitled to financial recovery, and you must speak with your FINRA dispute resolution lawyer to learn more about what legal options are available to you. 

At Wolper Law Firm, we are committed to helping investors recover their losses when they have been wronged or taken advantage of by their stockbrokers, financial advisors, and brokerage firms. You can contact our office to further discuss your legal options for financial recovery. 

When to Go to FINRA Arbitration

There are many different instances in which it may be appropriate to move forward with FINRA arbitration. The one thing most of these cases have in common is that the financial advisor, stockbroker, or brokerage firm has wronged the investor in some way. This could include:

  • Misrepresentation
  • Unsuitability
  • Omission
  • Failure to supervise
  • Breach of fiduciary duty
  • Stockbroker misconduct
  • Unauthorized trading
  • Churning
  • Selling away
  • Lack of portfolio diversification
  • Ponzi schemes

These are just a few examples in which an investor may be able to recover their losses in FINRA arbitration. You can discuss the individual details of your case with your stock loss lawyer to learn more about whether you have grounds for restitution. 

What to Expect If You Move Forward with FINRA Arbitration

FINRA arbitration involves having your case heard by a panel of arbitrators. If your losses amount to less than $100,000, one arbitrator will hear your case. If they amount to $100,000 or more, a panel of three arbitrators will hear your case.

Arbitration is similar to court proceedings with several exceptions. For example, once a decision has been reached, it is not eligible for appeal. If you brought your case to court you could appeal the decision. 

However, despite the fact that arbitration does not leave room for an appeal, many wronged investors find it to be a more attractive option given the fact that the entire process from start to finish can be resolved in as little as eighteen months. 

Once a decision has been made, if the arbitrators determine you should be repaid, the liable party will then be ordered to compensate you accordingly within thirty days of the decision. 

Contact a FINRA Dispute Resolution Lawyer

If you are interested in learning more about how the FINRA arbitration process works and what to expect from your complaint, get in touch with an experienced FINRA dispute resolution lawyer at Wolper Law Firm. You can submit the secured contact form provided below or give our office a call at 800-931-8452 when you are ready to initiate your arbitration complaint. 

Now is the time to talk to an investment loss recovery lawyer. We can help recover your investment loss. Free consultations, always.

Main Office - Fort Lauderdale

1250 S. Pine Island Road
Suite 325
Plantation, FL 33324
Phone: (800) 931-8452
(954)-406-1231

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis

Additional Office Locations (by appointment only)

Atlanta

3355 Lenox Road
Suite 7
Atlanta, GA 30326

Indianapolis

13295 N. Illinois St.
Suite 314
Indianapolis, IN 46032

New York City

275 Madison Avenue
Suite 705
New York, NY 10016

Dallas

3102 Maple Ave.
Suite 400
Dallas, TX 75201

Irvine

2600 Michelson Drive
Suite 1700
Irvine, CA 92612

Portland

5933 NE Win Sivers Drive
Suite 205
Portland, OR 97220

Denver

7900 E. Union Ave.
Suite 1100
Denver, CO 80237

Naperville

1700 Park Street
Suite 103
Naperville, IL 60563

Seattle

1001 Fourth Ave.
#3200
Seattle, WA 98154

We represent clients nationwide, including, but not limited to: Miami, Boca Raton, West Palm Beach, Sarasota, Tampa, Stuart, St. Petersburg, Vero Beach, Orlando, Jacksonville, Austin, Houston, Dallas, Washington DC, Charlotte, Boston, Baltimore, Phoenix, Scottsdale, Las Vegas, Los Angeles, San Diego, San Francisco, Chicago, Seattle, Portland, Denver, Salt Lake City, Fargo, Atlanta, Little Rock, Newark and St. Louis