Harrison

Protect Your Investments with FINRA Arbitration Representation

In an ever-evolving financial landscape, safeguarding your investments is paramount. At Harrison, we pride ourselves on being a leading legal firm dedicated to representing investors in disputes against brokerages, banks, and cryptocurrency exchanges. Our unwavering commitment to fighting for investor rights and our renowned expertise in the FINRA arbitration process combine to make us the allies you need in your corner. Financial Industry Regulatory Authority (FINRA) plays a vital role in maintaining the integrity of the financial markets and protecting investors. Learn why entrusting Harrison with your FINRA arbitration case can be a pivotal step in reclaiming control over your financial future.

Understanding FINRA and Its Significance

As an investor, it’s important to know that FINRA, or the Financial Industry Regulatory Authority, is a self-regulatory organization tasked with overseeing and regulating broker-dealers and their associates in the United States. Its primary objectives are to ensure market integrity and protect investors from fraudulent activities. Here’s how FINRA functions and why it’s essential:

Market Regulation: FINRA monitors trading activities to detect and prevent market manipulation, insider trading, and other fraudulent practices.
Licensing and Education: It ensures that industry professionals meet and maintain specific licensing requirements and are educated on the regulations and best practices.
Investor Education: FINRA provides resources and tools to educate investors, helping them make informed decisions.
Dispute Resolution: Through arbitration and mediation, FINRA provides a platform for investors to resolve disputes with brokers and brokerage firms in a more efficient and cost-effective manner than traditional court litigation.

Harrison’s seasoned attorneys are deeply familiar with the ins and outs of FINRA regulations and use this knowledge to advocate relentlessly for our clients’ rights. Understanding FINRA’s role is crucial for any investor, and our team ensures that you are well-equipped with this knowledge as we navigate the arbitration process together.

How Harrison Can Help in FINRA Arbitration

Harrison is committed to protecting investors through dedicated legal representation in FINRA arbitration. Here’s how our expert team can help you:

Case Evaluation: Our attorneys begin by thoroughly reviewing the details of your case to determine the feasibility and potential of pursuing a claim through FINRA arbitration.
Filing the Claim: Harrison attorneys will meticulously prepare and file the Statement of Claim with FINRA, ensuring that all appropriate documentation and evidence are included.
Discovery Process: We will handle the discovery process, gathering all necessary documents and information to support your case and obtaining from the opposing side all documents and information it has that are relevant to your claim.
Representation Before Arbitrators: Our attorneys will provide unwavering representation before the panel of arbitrators, presenting the case in the most persuasive manner.
Settlement Negotiation: AS the case advances, Harrison will engage in settlement negotiations to seek the most favorable terms for our client.
Post-Award Actions: In cases where the award requires enforcement or an appeal, our attorneys will guide you through the necessary steps and provide representation as needed.
Client Communication and Support: Throughout the arbitration process, Harrison maintains open lines of communication with clients, ensuring they are informed and supported every step of the way.

With a deep understanding of FINRA’s procedures and the financial industry, Harrison is ideally positioned to fight for the rights and interests of investors who have suffered losses due to broker misconduct or negligence.

Types of Cases Harrison Handles in FINRA Arbitration

Harrison’s experience and expertise encompass a wide range of disputes in the securities industry. Here are some of the types of cases we frequently handle in FINRA arbitration:

Securities Fraud: When deceptive practices are used in the stock or securities market, which affects investors adversely.
Unauthorized Trading: Cases where trades are made in a customer’s account without the customer's permission or contrary to their instructions.
Breach of Fiduciary Duty: When a broker or financial advisor does not act in the best interests of the client.
Churning (Excessive Trading): When a broker conducts excessive trading in a client’s account primarily to generate commissions that benefit the broker, not the client.
Negligence or Mismanagement: If a financial advisor fails to adhere to the standards, leading to losses.
Misrepresentation and Omission of Facts: When a broker or advisor provides incorrect information or fails to disclose important information about an investment.
Unsuitable Investments: Recommending investments that are not aligned with the investor’s goals, risk tolerance, or financial situation. Selling Away: When a broker sells securities that are not offered or approved by their affiliated firm, and usually not registered.
Failure to Supervise: Claims against brokerage firms for failing to effectively supervise their brokers’ activities.
Complex Financial Products Disputes: Handling cases involving structured products, derivative investments, and other complex financial products.
Ponzi Schemes: Assisting victims who have lost money in investment scams, including Ponzi schemes.

At Harrison, our goal is to provide the utmost level of professional legal service to investors who have suffered losses. We work diligently to hold brokers and brokerage firms accountable for their actions.

Why You Need an Experienced Florida FINRA Arbitration Lawyer

Though not a requirement, navigating the complex waters of securities law and FINRA arbitration without an experienced lawyer is not advisable. At Harrison, our team of Florida FINRA arbitration lawyers has spent years successfully handling securities and stockbroker fraud claims. Here’s how our seasoned lawyers can support your case:

Thorough Investigation: Our attorneys will dig deep into the facts and circumstances surrounding your case, gathering crucial evidence to build compelling arguments tailored to your situation.
Understanding Your Rights: Knowledge is power. Our lawyers will elucidate your legal rights and options, including the paths to a favorable resolution, including FINRA arbitration, mediation during proceedings, or taking the dispute to court.
Documenting Financial Losses: We meticulously document the extent of your financial losses and consult with you to ascertain what other relief might be available to you.
Handling Arbitration Details: Our attorneys will efficiently prepare and file your arbitration claim, manage the prehearing conferences, and handle discovery during the arbitration process.
Skilled Negotiation: If you opt for mediation, our attorneys are seasoned negotiators and will work tirelessly to reach a fair and satisfactory settlement.
Assertive Representation: Should your case go to arbitration hearing, our lawyers will vehemently argue your case, ensuring that your voice is heard.

Filing an Investor Regulatory Complaint vs. Arbitration Case

Filing an investor regulatory complaint and filing for arbitration with FINRA are two distinct processes. Arbitration is aimed at resolving monetary disputes between investors and broker-dealers or firms affiliated with FINRA. It allows you to seek compensation for losses incurred due to fraudulent actions, omissions, or other misconduct of a broker.

On the other hand, an investor regulatory complaint serves as a means for investors to inform FINRA of suspected fraudulent activities or misconduct by a member broker or firm. While FINRA investigates these complaints and can impose regulatory sanctions such as fines, suspensions, or expulsions, an investor complaint will not result in personal financial compensation.

What is the Difference Between FINRA Arbitration and Mediation?

FINRA also offers mediation as an alternative to arbitration. While arbitration is a trial-like process with a binding decision by a third party, mediation is more like settlement negotiation facilitated by a neutral mediator. The mediator helps both parties understand the strengths and weaknesses of their cases, striving for a mutually agreeable resolution.

FINRA mediation can be opted for even during an ongoing arbitration process and requires agreement from both parties. It is notable that according to FINRA, over 80% of cases opting for mediation result in settlement.

How Long Do You Have to File a FINRA Claim?

Navigating FINRA regulations alongside federal and state statutes of limitations is intricate. It’s imperative to consult a knowledgeable FINRA lawyer promptly. Our attorneys will help you understand the time limits applicable to your case and ensure your claim is filed within the requisite timeframe.

What Can You Recover in FINRA Arbitration?

Winning a FINRA arbitration could entitle you to compensation for expenses and losses incurred due to a broker-dealer or firm’s fraud or misconduct. This may include:

Brokerage Fees: Fees paid to the broker or firm for services involving fraudulent behavior or misconduct.
Investment Losses: Compensation for the diminished value of investments due to broker fraud or misconduct.
Incurred Expenses and Losses: Additional expenses and losses, such as tax liabilities.
Legal Fees and Costs: Reimbursement of legal fees and other costs incurred in pursuing the arbitration.

Moreover, alongside financial recovery, you may demand other forms of relief like specific performance of contractual obligations.

Securing Your Financial Future with Harrison

When you’ve placed your trust in a financial advisor and have fallen victim to investment fraud, the repercussions can be devastating. Navigating the recovery process on your own can be daunting and counterproductive. It’s critical to take action swiftly and smartly to protect your assets and hold the fraudulent parties accountable.

Harrison is a leading law firm specializing in FINRA arbitration and investment fraud cases. Our adept FINRA arbitration lawyers are committed to standing up for victims of investment fraud. We comprehend the intricacies of securities laws and have an impressive track record in helping clients recover their losses.

Don’t let the negligence or fraudulent actions of a broker-dealer or investment firm impede your financial well-being. Take control today. Your path to recovery and justice begins with the expertise and dedication of Harrison.

Take Action Now

If you or someone you know has been a victim of investment fraud or broker misconduct, don’t wait. The clock is ticking on your opportunity to recover your losses through FINRA arbitration.

Call Harrison at (954) 516-6000 or contact us online for a free consultation with our experienced Florida FINRA arbitration attorneys. Safeguard your financial well-being and get the justice you deserve.

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