FINRA Arbitration

Protect Your Rights, Protect Your Business, Protect Your Reputation.

Has an investor made complaints, or threatened suit?

Are you in a dispute with a Broker-Dealer or Registered Investment Adviser?

Are you facing termination from a broker-dealer or registered investment adviser?

Are you concerned about your FINRA Form U5?

Hiring a skilled and experienced Finra arbitration lawyer can both lower costs and maximize the potential for a favorable outcome. Finra arbitration is a focus at Bartell Law. The firm efficiently and aggressively defends customer claims against registered investment advisers, broker-dealers, financial advisors, compliance officers, managers and executives. The firm has broad experience defending claims by retail, institutional, and government investors, ranging from securities fraud, unsuitable recommendations and breach of fiduciary duty to unauthorized trading, conversion of funds, negligence, failure to supervise, churning and many others. The firm has experience with a variety of different financial products ranging from stocks, bonds, options, annuities and managed funds to structured products, auction rate securities and collateralized debt obligations. To learn more, call for a free consultation.  

From the dot-com crash to the more recent housing-market crash, the firm has experience litigating securities arbitration claims brought by a variety of different types of investors, ranging from individual retail investors with little or no investing experience to institutional investors with their own in-house investment professionals, including corporations, trusts and government entities. Here are several specific examples of the types of claims the firm has experience handling:

• federal and state securities fraud, including written and oral misrepresentations, material omissions, and market manipulation;

• violation of the rules issued by the SEC, Finra, the NYSE, state securities regulators, attorneys general and other regulators; 

• suitability violations - unsuitable investment recommendations;

• breach of fiduciary duty, including undisclosed conflicts of interest and compensation;

• unfair and deceptive acts and practices, including deceptive marketing;

• unauthorized trading, failure to execute, churning, and disregarding of instructions; 

• misleading marketing of auction rate securities and manipulation of the auction markets by auction managers; 

• unlawful redemption methodology for allocating redeeming preferred shares of closed-end funds;

• fraudulent packaging, issuance and sale of collateralized debt obligations;

• sale of restricted securities to unqualified investors, including under SEC Rule 144A;

• theft and unauthorized borrowing of client funds and securities;

• failure to supervise; 

• trading away and unauthorized use of broker-dealer accounts; 

• violation of statutory restrictions on sales of securities to government entities;

• failure to advise hedging or diversification of a concentrated stock position;

• unauthorized transfer of joint assets;

• violation of firm compliance policies and procedures;

• negligence and breach of contract.

The firm aggressively manages all aspects of customer disputes, including: drafting responses to initial customer complaints; investigating the factual circumstances through employee interviews and a careful review of books and records; analyzing the applicable law; devising a cost-effective legal strategy commensurate with the potential exposure; reviewing and selecting arbitrators; drafting narrative answers to statements of claims; carefully and efficiently managing document and electronic data production and review; drafting motions to compel and oppositions; interviewing and preparing witnesses for trial; researching and interviewing potential expert witnesses and preparing them for trial; conducting full arbitration hearings; and finally, where appropriate, selecting a mediator, preparing mediation statements and drafting beneficial settlement agreements. If you have a Finra arbitration matter, an experienced Finra arbitration lawyer can help you navigate the process efficiently and inexpensively, and can help maximize your chances of a favorable outcome. Call for a free consultation.