• Girard Gibbs LLP Services

Securities Arbitration

OVERVIEW

Often when a dispute between an investor and an investment firm or broker arises, it is resolved out of court through an arbitration process.  While arbitration can provide a more efficient and economical way of resolving a dispute, it can also put investors at a disadvantage against a potentially more savvy investment firm.

In most instances, the securities arbitration process is governed by the Financial Industry Regulatory Authority (FINRA).  FINRA regulates both stock brokers and securities firms, while also providing an arbitration forum for the resolution of disputes between investors and people and institutions that sell securities.

Over the years, our securities attorneys have developed the skills necessary to provide investors with the quality of representation investment brokerages expect when entering into arbitration proceedings.  Through our securities and investment fraud practices we have prosecuted a wide range of financial fraud lawsuits.  Some common forms of misconduct by brokers and financial institutions that typically affect retail investors include:

  • Unsuitability
  • Penny Stock Fraud
  • Unauthorized Transactions
  • Churning (excessive trading)
  • Ponzi Schemes
  • Mutual Fund Fraud
  • Over-concentration
  • Lack of Supervision