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FINRA Arbitration and Securities Litigation

Orange County FINRA Arbitration and Securities Litigation Attorney

Securities litigation is the way in which disputes and disagreements are settled between brokerage firms, or between a stock broker firm and its customers. Arbitration occurs when the case is brought before an impartial panel of experts in the field of controversy. When you or your company finds itself involved in a position to arbitrate, or on either side of a securities lawsuit, you need legal representation to ensure that your interests are defended.

Whether you are a firm going through the motions of FINRA arbitration, or an investor filing a complaint, you need an experienced guide to help you navigate the terrain of these potentially difficult proceedings. For knowledgeable and skilled assistance, call 949-861-2524 to speak with our Orange County securities litigation lawyers at Daily Aljian.

FINRA Arbitration

The most common way for securities disputes to be resolved is when a case is brought to the Financial Industry Regulatory Authority, or FINRA. This method is more efficient than typical litigation and can be relatively inexpensive. The main steps of FINRA arbitration include:

  • Statement of Claim – a description of what has happened
  • List of Proposed Arbitrators – a list provided by the FINRA Dispute Resolution staff in which the parties in arbitration rank the arbitrators listed
  • Pre-hearing Conference – held by phone according to a script, certain agreements are reached, including dates for hearings
  • Final Hearings – can take as little as three days but can last weeks or months depending on the case
  • Award – rendered at the final hearing, typically having taken 12-18 months after statement of claim

Unfortunately, the steps in FINRA arbitration can be complicated for both brokerage firms and investors. Thus, it is important to have legal counsel in the proceedings that can represent your rights and interests.

Contact Us

Whether you are facing FINRA arbitration or full securities litigation, you deserve to have a committed legal team at your side. To discuss your case with tough Orange County FINRA arbitration attorneys, call Daily Aljian today at 949-861-2524.