Disputes between investors and investment firms or brokers are often required to be 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 savvy investment firm.

Our securities arbitration attorneys help investors level the playing field, providing the same level of knowledgeable, high-quality representation investment brokerages bring when entering into arbitration proceedings.

Do you think you may have a securities arbitration case?

Speak privately with a securities arbitration lawyer about how to recover your money. All consultations are free and confidential.
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Brokerage Misconduct

Misconduct by brokers and financial institutions can be detrimental to retail investors, wiping out savings and resulting in significant hardship. Our securities and investment fraud lawyers have prosecuted a wide range of financial fraud lawsuits. We are committed to providing approachable, efficient, top caliber representation to investors when a broker’s bad conduct causes an investor to lose money.

>> More about Types of Broker Misconduct.

FINRA Securities Arbitration

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.

>> More about FINRA Arbitration.

Questions for a Securities Attorney?

Have questions about an investment dispute? Contact one of our securities lawyers for a free and confidential consultation.

Our Reputation for Excellence

Gibbs Law Group’s financial fraud and securities lawyers have more than two decades of experience prosecuting fraud. Our attorneys have successfully litigated against some of the largest companies in the United States, and we have recovered more than a billion dollars on our clients’ behalf.

We have fought some of the most complex cases brought under federal and state laws nationwide, and our attorneys have been recognized with numerous awards and honors for their accomplishments, including Top 100 Super Lawyers in Northern California, Top Plaintiff Lawyers in California, The Best Lawyers in America, and rated AV Preeminent (among the highest class of attorneys for professional ethics and legal skills).

Our Securities Arbitration Team

Scott Silver

Scott focuses his law practice on securities arbitration and litigation and plaintiff-side class action litigation, representing individual investors and institutions in claims against brokerage firms, investment advisors, commodities firms, hedge funds and others.

Michael Schrag

Michael has over 20 years of experience representing individual and small business plaintiffs against the world’s large financial institutions, including Visa, Mastercard, and Chase.

Eileen Epstein

Eileen is involved in the firm’s securities practice and has over a decade of experience in the legal world. She received her law degree from American University in 2005.

David Stein

David’s advocacy has generated major recoveries for consumers impacted by financial fraud. He was named to the Top 40 Under 40 by Daily Journal and a “Rising Star in Class Actions” by Law360.

Amanda Karl

Amanda is spearheading a securities lawsuit against NantHealth concerning fraudulent statements to investors about the success of its key product.

Noteworthy Financial Fraud Cases

American Express Financial Advisors Securities Litigation $100 million cash settlement for clients alleging American Express steered them into under-performing “shelf space funds” to reap kickbacks
Chase Bank “Check Loan” Litigation $100 million settlement for consumers alleging Chase offered long-term fixed-rate loans, only to later more-than-double required payments
Peregrine Financial Group Customer Litigation Settlements worth $75 million for futures and commodities investors who lost millions in the collapse of Peregrine Financial Group, Inc.
NantHealth Court-appointed Co-Lead Counsel in a securities class action alleging the company’s founder violated federal securities law and artificially inflated stock prices

Read More about Securities Arbitration

• Stock Broker and Financial Advisor Misconduct • Unathorized Transactions
• Investment Over-Concentration • Ponzi Schemes vs. Pyramid Schemes
• Financial Advisor and Stock Broker Lawsuits • FINRA and Securities Arbitration Lawyers

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