If you have been a victim of investment fraud or stockbroker misconduct that resulted in significant financial losses, you will likely be required to bring your claim in a securities arbitration. Most customer and consumer securities arbitration cases are brought in a Financial Industry Regulatory Authority (FINRA) arbitration.
In arbitration, you will likely be facing powerful legal opponents hired by the broker or brokerage firm you are suing. You will need an attorney experienced in securities arbitration, industry rules, and in-depth knowledge of the securities industry.
At Levin Law, our Miami securities arbitration lawyers are experienced and have a strong record of recovering financial losses for our investor clients domestically and throughout the world. Our attorneys have devoted their careers in the complex field of securities arbitration and litigation, which gives us deep insight into handling arbitration claims.
Type of Securities Arbitration Claims
Most brokerage firms include a mandatory arbitration clause in the documents signed by new investors. In arbitration, your case will be heard by an arbitrator or a panel of arbitrators acting as neutral parties. After hearing testimony from both sides, they will render a decision that will be binding.
Many cases, however, resolve before the final arbitration trial through mediation. In mediation, an impartial party trained in appropriate techniques negotiates a mutually acceptable resolution.
Types of Claims Brought Against Financial Institutions in Securities Arbitration Cases include:
- Misrepresenting facts about an investment vehicle
- Omitting material facts about an investment vehicle
- Recommending products that are unsuitable for an investor’s goals and/or risk tolerance
- Negligence
- Breach of fiduciary duty
- Broker theft
- Churning
- Excessive or improper use of margin
- Elder abuse
- Elder financial fraud
- Hedge fund-related wrongdoing
- Improper sales of junk bonds
- Improper asset allocation, over-concentration, and lack of diversification
- Market-linked notes
- Ponzi schemes
- Penny stocks
- Pump and dumps
- Private placement securities sales
- Structured notes
- Unauthorized trading
- Unsuitable investments
How Levin Law Can Help
Levin Law is well-versed and experienced in the FINRA mediation and arbitration processes. We have a track record of providing effective legal representation in these matters for investors nationwide, and all over the world.
We will work diligently to handle your claim aggressively and effectively and provide the confidentiality you need. Let us use our extensive securities fraud claims experience and skills to help you today.
Contact a Miami securities arbitration attorney today at (305) 402-9050. We look forward to speaking with you to determine your options through a free case evaluation.
