Have you lost money through investment fraud or stockbroker misconduct? Are you trying to figure out what to do next? If so, you’ve come to the right place. Wolper Law Firm, P.A. can help you pursue securities arbitration and pick up the pieces of your life. Continue reading to learn more about what securities arbitration is and the evidence that can help support your complaint.
What Is Securities Arbitration?
When you have been a victim of stockbroker negligence, misconduct, or investment fraud, you may be struggling to cope with the financial loss. Fortunately, you may be able to recover these losses through arbitration.
The Financial Industry Regulatory Authority (FINRA) is responsible for ensuring that reckless or incompetant brokers, firms, and financial advisors are brought to justice and compelled to repay you for the losses you endured. This can include many different types of securities fraud such as:
- Churning
- Unauthorized trading
- Selling away
- Unsuitability
- Lack of diversification
- Investment fraud
- Failure to supervise
Evidence to Support Your FINRA Arbitration Complaint
If you decide to move forward with FINRA arbitration, you must be able to provide the arbitrators with evidence to support your claims. Your case will be heard by one arbitrator if your losses were less than $100,000 or a panel of three arbitrators if your losses exceeded $100,000.
Because the respondent will also be attempting to clear their name, the more evidence you have to support your complaint, the better. Some of the most common types of evidence presented in FINRA arbitration include:
- Bank statements
- Financial records
- Contracts
- Witness statements
- Text conversations or emails
- Recorded conversations
- Confidential documents
Reach Out to a Securities Arbitration Lawyer for Help
If you are interested in learning more about the FINRA arbitration process, a qualified securities arbitration lawyer at Wolper Law Firm, P.A. could help. Call 800.931.8452 or submit the quick contact form below when you are ready to schedule a free complaint evaluation.
Attorney Matthew Wolper
Matt Wolper is a trial lawyer who focuses exclusively on securities litigation and arbitration. Mr. Wolper has handled hundreds of securities matters nationwide before the Financial Industry Regulatory Authority (FINRA), American Arbitration Association (“AAA”), JAMS, and in state and federal court. Mr. Wolper has handled and tried cases involving complex financial products and strategies ranging from traditional stocks and bonds to options, margin and other securities-based lending products, closed/open-end mutual funds, structured products, hedge funds, and penny stocks.
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