FINRA (the Financial Industry Regulatory Authority) arbitration is the means by which most disputes between investors and brokerage firms are settled. Whether you are an investor or a broker, it is important to protect your valuable interests throughout this process with the help of experienced legal counsel.
At the Orange County law firm of Burkhalter Kessler Clement & George LLP (BKCG), our attorneys are committed to helping our clients resolve their disputes in the most efficient and effective manner as possible.
What Issues Are Handled Through FINRA Arbitration?
FINRA has broad authority to help settle issues between brokers and investors, including disputes arising from:
- Excessive trading or fee churning
- Material omissions or misrepresentation of securities
- Unauthorized changes to investment portfolios
- Unauthorized investment strategies
- Concentrating investments in individual securities
- Financial fraud
Securities arbitration is the preferred method for handling these disputes as it is often more efficient than traditional methods of investment litigation. Our lawyers understand the FINRA arbitration process and can help guide you along every step of the way. Whether you are an investor who is concerned about fraud or whether you are a broker being accused of financial misdeeds, we are here to help protect your rights and interests.
Contact Our Attorneys For Help With Investment Disputes
Investment disputes can be contentious and costly. We are committed to helping you achieve the best possible resolution in the most expeditious manner. Contact us online or call 949-975-7500 to schedule a consultation. From our law office in Irvine, we provide investment litigation and arbitration services to individuals and brokerage firms throughout California.