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Can I Sue My Brokerage Firm?

When your brokerage firm is responsible for the investment losses you suffered, you may be wondering what legal options you have to get your money back and hold them accountable for their negligence or misconduct. 

Fortunately, the Financial Industry Regulatory Authority (FINRA) is prepared to hear cases involving brokerage firms who are liable for their client’s losses. Continue reading to learn more about when you might file an arbitration complaint against your brokerage firm and what you can expect from the FINRA arbitration process. 

When You Might File a Complaint Against Your Brokerage Firm

The key to being able to get your money back after suffering a considerable investment loss is being able to prove to the FINRA arbitrators that the brokerage firm is directly or indirectly responsible for the losses you suffered. 

Remember, the brokerage firm is also responsible for the actions of their financial advisors, so any misconduct or negligence on their part means you can pursue compensation from the firm, as well. Some of the most common reasons to pursue a FINRA arbitration complaint against your brokerage firm include:

What to Expect from the FINRA Arbitration Process

The FINRA arbitration process is fairly similar to what you would expect in a court hearing. You will present your evidence against the brokerage firm and they will also provide evidence to support their case and refute your claims. 

From there, the arbitrators will review the evidence and determine whether the broker-dealer should be ordered to compensate you for your investment losses. The entire process from start to finish can be completed in as little as eighteen months, which makes it a attractive option for investors who need their money back as soon as possible.

Get Help from a Stock Loss Lawyer

To learn more about initiating a FINRA arbitration complaint against your brokerage firm seeking full restitution for your investment losses, contact a respected stock loss lawyer at Wolper Law Firm. You can schedule a free, confidential case evaluation when you give our office a call at 800-931-8452 or complete the quick contact form provided at the bottom of this page. 

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

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Atlanta, GA 30326

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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