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.
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 ExcellenceGibbs 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).
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|