Sarasota County Bar Association
Manatee Chamber of Comerce

Arbitration Forums

When something goes wrong in your investment strategy, it may not be your fault.

If your broker or their firm violates securities law, you can take your case to the SEC and have your day in court. If your adviser has engaged in misconduct or ethical violations, you will pursue that with FINRA.

FINRA is not a government agency, so you will file and settle your claim outside the legal system. You agreed to this procedure when you signed on with your brokerage firm. Instead of litigation, your justice will be sought in an arbitration forum.

Even if you’re an experienced investor, it’s a complicated process. It’s also very time consuming. For the fastest and best result, hire an investment attorney. A good lawyer will guide you through all the steps of a FINRA arbitration forum. Remember, your broker will have their attorney present.

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