FINRA Arbitration

FINRA Arbitration Claims | FINRA Arbitration Attorney, Lawyer

Whenever an investor opens an investment account with a brokerage firm or a bank, the investor must sign an arbitration agreement. Pursuant to that agreement, the investor forgoes their right to file an action in court against the bank or brokerage firm. Instead, the investor must file all claims against their investment professional, brokerage firm, or bank in a FINRA sponsored arbitration. This is called FINRA Arbitration. FINRA, a division of the SEC, is the self-regulatory organization that regulates most investment professionals. 

FINRA arbitrations are held in less formal settings than a traditional court room. The FINRA arbitration hearings are held in FINRA dispute resolution hearing locations, hotels, or conference centers in locations closest to where the investor resides. Once an investor hires an attorney to file an arbitration claim on their behalf, the claim should be resolved through a final hearing within 15 months of filing. FINRA arbitration offers an expedited hearing schedule for sick or elderly investors. The FINRA arbitration claim is heard by a panel of arbitrators from the community. The panel may be composed of attorneys, accountants, teachers, retirees, and other professionals. Investors have the option of deciding whether they would like to have an arbitrator from the securities industry present on the arbitration panel. 

Legal Help for Victims with FINRA Arbitration Claims

If you feel that you may have a claim against your investment professional, brokerage firm, or bank, please give us a call for a free case evaluation to determine whether you have a potential claim through the FINRA Arbitration process.  Gilman Law LLP is a leading securities fraud law firm and is here to help you receive the best compensation for your FINRA Arbitration claim. For a FREE  evaluation of your case, please fill out our online form, or if you need to speak to an attorney right away CALL TOLL FREE (1-888-252-0048) today.

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