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 CaliforniaTop Plaintiff Lawyers in CaliforniaThe Best Lawyers in America, and rated AV Preeminent (among the highest class of attorneys for professional ethics and legal skills).

Our Securities Arbitration Team

Eric Gibbs

Eric has served in leadership positions in a number of high profile, complex financial lawsuits. He has been recognized as a Daily Journal, among the Top 100 Super Lawyers in Northern California, and a Law360 MVP for Consumer Protection.

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.

Michael Schrag

Michael has over 20 years of experience representing individuals in complex cases involving banking credit card and other financial frauds.

Amanda Karl

Amanda represents employees, consumers and investors in complex class action lawsuits nationwide. She was a law clerk to Hon. Richard A. Paez of the Ninth Circuit Court of Appeals, and to Hon. Claudia Wilken, Northern District of California.

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