Anderson Zeigler has experience in a unique area of FINRA law, providing representation in claims and defense for the following types of matters:

  • Investor arbitration claims involving brokers and investors;
  • Promissory note arbitrations between individual brokers and securities firms; and
  • Employment matters between individual brokers and securities firms.

FINRA arbitration utilizes its own separate and unique procedures for both employment and investment disputes which are not applicable to the courts.

Almost all brokerage firms require in their initial agreements with investors that any disputes be resolved in a FINRA arbitration.

The investor-related claims range from unsuitable investments, over-concentration, churning of accounts with excessive fees and commissions, unauthorized trading, or fraudulent and/or misleading statements resulting in investment.

FINRA arbitration is intended to be an expedited forum to resolve these issues where there is an exchange of documents and information. There are no depositions. You merely need to show up at the hearing.

Our attorneys diligently assist investors, brokers and employees through this process.