The Financial Industry Regulatory Authority, Inc. (“FINRA”) is a private, non-governmental organization that regulates brokers and brokerage firms in the United States. Virtually all disputes between investors and their stockbrokers are decided in the arbitration forum operated by FINRA.
Some common claims in FINRA arbitrations include:
- Unsuitable Transactions
- Churning/Excessive Trading
- Unauthorized Trading
- Breach of Fiduciary Duty
- Breach of Contract
- Margin Abuse
- Failure to Supervise
Some common investments in FINRA arbitrations include:
- Limited Partnerships
- Private Equities
- Variable Annuities
- Structured Products
- Alternative Products
NOTABLE CASES: INVESTOR-BROKER ARBITRATIONS
- Obtained dismissal of all claims and expungement in favor of RIA. [FINRA 16-03129]
- Obtained dismissal of all claims and expungement in favor of investment professional. [FINRA 10-02737]
- Obtained dismissal for registered representative in customer arbitration involving $5 million claim. [NYSE 4/26/02]
- Favorable resolution of seniors’ claims over investment product.
- Favorable resolution of claims for defrauding elderly.
At Weltz Law P.C. we will learn the facts of your case, devise a strategy to best achieve the most favorable outcome under the circumstances and represent you from start to finish.
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