When securities disputes arise, the forum through which these matters are most often resolved is not the courtroom but rather the boardroom. Specifically, the language of most governing contracts dictates that securities disputes involving individual investors and/or securities professionals must be resolved via arbitration held before the Financial Industry Regulatory Authority or FINRA.
For those unfamiliar with FINRA, it is an independent non-profit tasked by Congress with safeguarding investors and “making sure the securities industry operates fairly and honestly.”
While arbitration is a less formal and less expensive method of resolving securities disputes, this doesn’t mean that the stakes are any less than they would be in a traditional court case.
In fact, it’s important to understand that the stakes are perhaps even higher, as the decision reached by a FINRA arbitration panel is considered final and binding, meaning an appeal is simply not an option.
In light of this reality, it’s imperative that anyone engaged in a securities dispute before a FINRA arbitration panel considers retaining the services of a legal professional with considerable experience navigating this challenging legal forum.
At Robert J. Kaufman, Esq. & Alex B. Kaufman, Esq., our attorneys provide skilled representation to clients — both plaintiffs and defendants — engaged in securities disputes calling for resolution before a FINRA arbitration panel. Thanks to their past successes in securities arbitration, they understand what it takes to prepare a comprehensive and wholly compelling case.
To learn more about our services in this otherwise complex legal area, please visit our website. We represent clients here in Georgia, across the U.S. and around the world.