If you have been dealt massive financial losses and are interested in holding the liable party accountable, reach out to a respected securities arbitration lawyer in Miami for help.
Securities arbitration is a great option for investors who have lost money due to the actions of their financial institutions and advisors. But the complaint process can be overwhelming, especially when you have to go up against a large corporation or powerful broker. Fortunately, with the help of a qualified Miami securities arbitration lawyer, you can move forward with your complaint with confidence.
At Wolper Law Firm, we strive to recover full compensation for Miami investors who have been wronged by their advisors. You can continue reading to learn more about the securities arbitration process and how you’ll know whether you have grounds for initiating a complaint with the Financial Industry Regulatory Authority (FINRA).
Cases Often Heard in Securities Arbitration
FINRA is responsible for overseeing the conduct of registered stockbrokers and brokerage firms. When these parties are responsible for causing investor losses, the investor may have grounds for a securities arbitration complaint. There are many different kinds of cases that are heard in securities arbitration hearings, but some of the more common ones include:
- Insider trading
- Ponzi schemes
- Selling away
- Unauthorized trading
- Excessive trading
- Lack of portfolio diversification
- Breach of fiduciary duty
- Breach of contract
You may not know whether any of these types of misconduct occurred, but if you suffered investment losses of any kind and you suspect your broker may be liable, contact a securities arbitration lawyer in Miami to discuss your options.
When to Call a Securities Arbitration Lawyer
It can be difficult to determine whether you have grounds for a complaint. But there are some signs you can look out for when monitoring your accounts—for example, if you notice that there have been more than four trades in your accounts within the last year, or if you discover unauthorized trades.
It is important to carefully examine your accounts to look out for inconsistencies, trades you don’t recognize, and other signs of potential fraud.
Once your lawyer has had a chance to review the details of your case, you will have a better idea of what caused your financial losses and who may be responsible. From there, you may be able to initiate an arbitration complaint and request that your Miami case be heard by a panel of FINRA arbitrators.
If the arbitrators presiding over your case find in your favor, then they have the power to order the at-fault party to compensate you for your investment losses. These cases can often be resolved in as few as eighteen months.
Reach Out to a Securities Arbitration Lawyer in Miami, Florida
Are you ready to bring your fraudulent broker or brokerage firm to justice? If so, contact a reputable Miami securities arbitration lawyer at Wolper Law Firm to discuss the details of your case. You can reach us by phone at 800.931.8452 or through the convenient contact form below.