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  • 877-WELTZLAW (935-8952)
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Investor-Broker Arbitrations

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.

Investor Arbitrations

Some common claims in FINRA arbitrations include:

  • Unsuitable Transactions
  • Churning/Excessive Trading
  • Unauthorized Trading
  • Fraud/Misrepresentation
  • Breach of Fiduciary Duty
  • Breach of Contract
  • Manipulation
  • Margin Abuse
  • Failure to Supervise

Some common investments in FINRA arbitrations include:

  • Stocks
  • Bonds
  • REITs
  • ETFs
  • Options
  • Limited Partnerships
  • Private Equities
  • Variable Annuities
  • 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.

This Website Is Not A Source Of Legal Advice. Viewing this website or sending an e-mail to the firm will not create an attorney-client relationship. The purpose of this website is to provide general information about our firm. It is not intended to provide legal advice. Attorney Advertising. Portions of this website may be considered to be, or to include, attorney advertising. Prior results do not guarantee similar outcomes with respect to any future matter that we may be retained to handle.