FINRA Arbitration


FINRA arbitration before the Financial Industry Regulatory Authority (“FINRA”) presents unique challenges. Our seasoned attorneys have arbitrated numerous cases to award before FINRA, NASD and NYSE arbitration panels on behalf of both claimants and respondents. We use that experience to achieve the best possible outcome for our clients.


Our prior and ongoing experience representing financial institutions, broker-dealers, customers with claims under the Securities Investor Protection Act (“SIPA”), and a court-appointed receiver in an SEC Enforcement Action provides us with unique insight to efficiently and effectively prosecute claims on behalf of customers and other securities industry participants. Although many cases settle, we do not shy away from hearings. As our recent successes demonstrate, we have the knowledge, experience and skill to achieve outstanding results.


Several of our attorneys are members of the Public Investor Arbitration Bar Association (“PIABA”) and have contributed to the treatise on broker-dealer liquidations under SIPA for Norton Bankruptcy Law and Practice, 3d. While we focus our FINRA Arbitration practice on prosecuting customer claims, we have the knowledge and experience to represent all participants in the securities industry in a variety of contexts, including, but not limited to, intra-industry disputes, employment disputes and expungements.

Practice Area Contact: Aaron Romney