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Benefits of an attorney when dealing with securities arbitration

The Financial Industry Regulatory Authority provides a forum where disagreements between investors and firms can be handled. Often, disagreements occur when investors do not receive the money they believe they are owed. While an attorney is not mandatory for FINRA proceedings, having a professional on your side can be beneficial.

First, history indicates that an attorney is more likely to see success in the forum than an investor representing him- or herself. It's very likely that the brokerage is coming to the table with lawyers at hand, which is why the investor might want to consider doing so as well.

Cases between firms and investors can involve a lot of communication, and any communication is an opportunity for strengthening or weakening your case. When you have a professional reviewing or assisting with communication, the chances of communicating something that could weaken the case are reduced.

Depending on the size of a case, FINRA arbitrations are decided by a single person or a panel of three individuals. Framing cases in the best manner for either situation is important to the outcome of the case. Experience with legal, financial and FINRA-specific matters can help increase the chance of success for investors.

You cannot appeal a FINRA decision, which means you need to provide as mistake-proof a case as possible the first time. Having an experienced legal professional on your side can help you avoid simple mistakes that might make it impossible for a FINRA arbitrator to decide in your favor.

Our firm handles FINRA cases for investors from across the country and even around the world. It is important to note that FINRA arbitration is only possible when a US-based investment firm is involved.

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Law Office of Jeffrey B. Pape, P.C.
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