Our attorneys frequently represent investors and registered representatives before the Financial Industry Regulatory Authority (FINRA). This self-regulatory organization regulates the financial industry and is a unique dispute resolution forum. FINRA has its own rules and regulations that are specialized to that financial industry. Our attorneys have experience representing investors, broker-dealers and their registered representatives, and registered investment advisors in a variety of disputes.
When representing investors, our attorneys have helped people with investment losses due to fraud, churning, unauthorized trading, misrepresentations and omissions, selling away, breach of fiduciary duty, negligence, failure to diversify a portfolio, financial exploitation of the elderly and disabled and other related actions. While not all losses are recoverable, it is important to speak to an experienced securities attorney as soon as you suspect wrongdoing. Our attorneys have handled scores of cases in FINRA arbitration.
Our attorneys are also experienced in representing registered representatives in regulatory matters. We have represented registered representatives before the FINRA Enforcement Division regarding disciplinary matters. We have also represented registered representatives in expungement proceedings before FINRA.
Our work before the FINRA Dispute Resolution forum also involves employment matters. We have represented broker dealers and their registered representatives in non-solicitation matters, noncompetition matters, transition of employment to a new broker-dealer, and in their business dealings. Our attorneys help those in the industry buy or sell their book of business. We are known for our transactional work assisting financial advisors in growing their own business.
We also have experience in serving as both the mediator and arbitrator in similar matters. This experience helps us understand the industry better and assist our clients.
If you have a matter involving FINRA or the financial industry, please consider one of our attorneys.
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