Arbitration Before FINRA

If you have a brokerage account with just about any broker-dealer in the country, including on-line broker-dealers, you almost certainly have agreed (in your account opening documents) to arbitrate all disputes before FINRA (the Financial Industry Regulatory Authority). Over the years, we have represented many customers in FINRA cases against their broker-dealers/financial advisors, including cases against the largest national broker-dealers as well as cases against smaller/regional broker-dealers.

Industry professionals are also required to arbitrate their disputes with their industry employers before FINRA. We have represented senior industry professionals against their employers in both FINRA arbitration and during post-employment, garden leave, and non-competition obligation negotiations.

Whatever kind of case you may have before FINRA, the Law Offices of Jotham S. Stein P.C. may be right for you.