If you lost money because of a broker or financial advisor, FINRA arbitration may provide a way to pursue recovery against the advisor or brokerage firm. Mazer Law Firm represents investors in FINRA claims involving unsuitable recommendations, misrepresentation, excessive risk, failure to supervise, and other brokerage misconduct.
Former Broker & Investment Adviser. Now Representing Investors.
Speak Directly With Attorney Glenn Mazer
FINRA arbitration is commonly used to resolve disputes between investors and brokerage firms. Claims may involve misconduct by an individual broker, failures by the brokerage firm, or both. Common claims include:
Replace the bullets with:
FINRA arbitration is a private dispute process used to resolve many claims between investors, brokers, and brokerage firms. The case is presented to one or more arbitrators rather than a judge or jury, and the process typically includes filing a Statement of Claim, exchanging documents, taking testimony, and presenting evidence at a hearing.
Depending on the facts, a FINRA claim may involve the individual broker, the brokerage firm, or both. Brokerage firms can be responsible for unsuitable recommendations, misleading sales practices, failure to supervise, and other misconduct connected with the account.
If that section has bullets, replace them with:
Mazer Law Firm can review your investment records and help determine whether broker misconduct or brokerage-firm supervision failures may have contributed to your losses.
FINRA claims often depend on the documents and communications showing what was recommended, what the investor was told, and how the account was supervised. Important evidence can include account statements, new-account forms, risk-tolerance information, emails, text messages, investment disclosures, trading records, customer complaints, and supervisory records.
If you lost money because of a broker or financial advisor, Mazer Law Firm can review the recommendations, account activity, and whether a FINRA arbitration claim may be appropriate. Speak directly with Attorney Glenn Mazer about what happened.
No Fee Unless We Recover for You.