Seeking Arbitration for FINRA Dispute Resolution
When investors have complaints about broker or brokerage conduct, or are involved in financial disputes regarding trades, they may seek an arbitrated or mediated resolution through the Financial Industry Regulatory Authority (FINRA) dispute resolution process.
I am Jonathan Schwartz, a veteran securities attorney working in Marina del Rey, California. For more than 30 years, I have worked as an independent securities attorney representing investors and brokers in disputes regarding securities. I also have lengthy experience as an arbitrator and as an attorney representing clients in arbitration.
For more information about my practice, call me at The Law Office of Jonathan Schwartz at 310-526-8704 or 866-920-6566 toll free.
Resolving Disputes Faster and at Lesser Expense
When investors have complaints about brokers or brokerage conduct, they may be brought to the attention of the SEC or CFTC. Also, the SEC or CFTC may bring civil actions against brokers or brokerages through their own investigations.
Many of the issues that can be resolved through these processes can be settled relatively quickly and at lesser expense through FINRA dispute resolution.
By choosing mediation, disputing parties agree to pursue an informal process in which a trained or impartial mediator facilitates negotiations. The mediator does not impose a resolution, but instead provides the foundation for the parties to negotiate it themselves. By choosing arbitration, disputing parties agree to allow a trained or impartial arbitrator or panel of arbitrators to determine the resolution for them.
Either way, the investor can avoid a court process and may be able to achieve a decision more easily and for less investment in attorney fees and other expenses related to the action.
FINRA Arbitration for Brokers
Investors are not the only parties who can benefit from FINRA dispute resolution. Stockbrokers and other financial professionals may be able to pursue complaints against their FINRA-registered employers on a range of issues regarding back pay, hiring and firing issues, repayment of "forgivable loans" and other issues. If you have a financial dispute with your employer, a FINRA process is the only option.
California FINRA Dispute Resolution | Is It Right for You?
Whether FINRA dispute resolution is best for you is best discussed in the presence of an experienced securities lawyer. In such situations, I represent investors and/or individual brokers, depending on the circumstances they face and the merits of their individual situations.
Experienced Los Angeles FINRA Arbitration Attorney | Free Consultation
For a free consultation with an experienced Southern California arbitration lawyer, contact me online at The Law Office of Jonathan Schwartz or by calling 310-526-8704 or 866-920-6566 toll free.
Spanish translation is available. Servicios de traducciones disponibles.
