FINRA Complaint Lawyers

What To Know When Filing a FINRA Complaint Against Your Broker

The Difference Between A FINRA Lawsuit and a FINRA Complaint  

If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). This non-profit organization, which regulates the US securities industry, investigates complaints brought against brokerage firms and their employees and, when warranted, issues disciplinary sanctions against them.

As an investor wishing to file your FINRA complaint against a brokerage firm, you can do this through their website. Older investors with questions can also call the FINRA Helpline for Seniors for more information.

While this can be a solid step in alerting regulators to possible stockbroker fraud, if you are wanting to recover damages from a broker-dealer, you will want to consider going through FINRA arbitration. This is the forum in which customers can bring their disputes against their broker-dealers, including filing a FINRA lawsuit seeking financial recovery.

This is not an investor loss claim that you want to pursue without seasoned FINRA attorneys by your side. At Shepherd Smith Edwards and Kantas ( we represent retail investors, retirees, older investors, high-net-worth individual investors, institutional investors, and others in arbitration, mediation, and litigation.

How Can Your Trusted FINRA Complaint Lawyers Help?

Regardless of whether or not we agree to work together, you can contact us for a free, no obligation case consultation. We can help you assess whether you have grounds for a FINRA arbitration case or complaint against your brokerage firm.

It is important to note that not all investor losses are caused by brokerage firm negligence. You also should know that most broker-dealers will not admit to financial advisor misconduct or carelessness. This is one more reason to speak with a knowledgeable securities arbitration attorney first.

In the event that it appears that you may have cause for suing your brokerage firm, and we agree to work together, Shepherd Smith Edwards and Kantas can:

  • Work with you to gather relevant records and documents supporting your investor loss claim.
  • Prepare your statement of claim explaining the key facts of what happened.
  • Retain the necessary experts to provide relevant testimony during the arbitration proceedings.
  • File your FINRA lawsuit.
  • Represent you before the panel of arbitrators.
  • Protect your legal rights while fighting for the damages you are owed.

More than 90% of the clients our FINRA arbitration lawyers have represented have received full or financial recovery from their brokerage firms.

Call (800) 259-9010 today for a no-obligation consultation from an SSEK FINRA Complaint Lawyers.


Contact Information