FINRA Arbitration Attorney

Securities Arbitration is the predominant method by which disputes between investors and brokerage firms or investment advisors are resolved.

An organization called the Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator that oversees individuals and firms that sell stocks, bonds, mutual funds, and other securities to the public in the United States. They are authorized by Congress to protect investors.

The FINRA Arbitration Process:

  • A Statement of Claim with facts and requested remedies is filed by the complainant.
  • An Answer to the Statement of Claim is filed by the respondent that specifies facts and defenses to the Statement of Claim.
  • Potential arbitrators are selected by the parties.
  • Attorneys for the Parties meet telephonically before the hearing to schedule hearing dates and attempt to resolve preliminary issues.
  • Documents and relevant information are exchanged in preparation for the hearing.
  • A hearing takes place either in person or virtually where each party presents arguments in support of their case.
  • The Arbitrators submit their decision or award which is final and binding on all the parties.

Anthony Bingham is a member of the Public Investors Advocate Bar Association (PIABA).  “The mission of PIABA is to advocate for equal access to justice for investors in all forums. PIABA works to promote fairness in the rules governing dispute resolution for investor claims against securities and commodities brokerage firms, registered investment advisory firms, and their associated representatives. PIABA also works toward creating, improving, and enforcing statutes, rules, regulations, case law, and policies designed to promote investor rights and to prevent misconduct by those who sell investments to the public.” Securities Arbitration and Securities Litigation Attorneys who are members of PIABA benefit from educational and networking opportunities unique to the organization.

Bingham Law represents investors who have lost money in their investment portfolio due to the actions of their broker, financial planner, or investment advisor.  Often investors do not realize they have a legal claim against those persons who have unscrupulously or sometimes even unintentionally mismanaged their money. Consulting with a qualified Securities Law Attorney is an important step in recovering your losses.