In addition to its regulatory functions, the Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. In fact, FINRA Dispute Resolution is the forum for virtually all disputes between and among investors, brokerage firms and individual brokers.
The vast majority of brokerage firms have mandatory arbitration clauses in their account agreements that require investors to file their disputes through FINRA.
FINRA Arbitration is very different than court litigation, with its own specific rules of procedure and operation. To see the FINRA Code of Arbitration Procedure, visit http://www.finra.org/arbitrationandmediation/arbitration/rules/codeofarbitrationprocedure/.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. The firm represents investors throughout the country in FINRA arbitration claims against broker-dealers.
The White Law Group’s FINRA attorneys have worked on over 400 FINRA arbitration claims and have handled FINRA arbitration claims involving unauthorized trading, unsuitable investments, fraud, negligence, churning/excessive trading, and improper use of margin (among other types of claims).
If you believe that you have a viable FINRA arbitration claim and would like to speak with a FINRA arbitration attorney regarding your litigation options, please call The White Law Group at 312/238-9650 for a free consultation.