Securities Arbitration Lawyers
We are a national practice, where permitted, limited to FINRA securities arbitration claims against stockbrokers and investment professionals for fraud, the sale of unsuitable securities, negligence, breach of fiduciary duty and the failure to supervise.
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Securities Class Action Clearing House
The Securities Class Action Clearing House (SCAC) provides detailed information relating to the prosecution, defense, and settlement of federal class action securities fraud litigation. The Clearinghouse maintains an Index of Filings of 3010 issuers that have been named in federal class action securities fraud lawsuits since passage of the Private Securities Litigation Reform Act of 1995. The Clearinghouse also contains copies of more than 31,200 complaints, briefs, filings, and other litigation-related materials filed in these cases.
Public Investors Arbitration Bar Association
PIABA is a national bar association with strict membership requirements. PIABA was established in 1990 as an educational and networking organization for securities arbitration attorneys who represent the public investor in securities disputes. The mission of PIABA is to promote the interests of the public investor in securities and commodities arbitration by protecting public investors from abuses in the arbitration process, such as those associated with document production and discovery; making securities and commodities arbitration as just and fair as systematically possible; and creating a level playing field for the public investor in securities and commodities arbitration.
Financial Industry National Regulatory Authority
The Financial Industry Regulatory Authority (FINRA), formerly NASD Regulation, Inc. and the New York Stock Exchange), is the largest independent regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 4,800 brokerage firms, about 173,000 branch offices and approximately 647,000 registered securities representatives.
Arbitration Award Database
FINRA’s Arbitration Awards database enables users to perform Web-based searches for FINRA and historical NASD arbitration awards free of charge, seven days a week. Also available through the site are historical awards for New York Stock Exchange, the American Stock Exchange, the Philadelphia Stock Exchange, and the Municipal Securities Rule-making Board.
Investigate Before You Invest
Before trusting your investment dollars with a stockbroker or brokerage firm, check with whom they are associated have been the subject of stockbroker fraud claims, disciplinary actions, or regulatory action for securities fraud, investment fraud, the violation of the federal securities laws. Learn if your broker or their brokerage firm been the subject of customer initiated, investment related stockbroker fraud complaints or securities arbitration proceedings.
Learn whether NASD Regulation, Inc., or the New York Stock Exchange, now FINRA (Financial Industry Regulatory Authority) has ever brought an action against your broker for the violation of its rules. Find out which brokerage firms your broker has been previously associated, and whether these brokerage firms have been expelled or disciplined by securities regulators for investment fraud.