What Is a FINRA Lawyer

A FINRA attorney is someone who is licensed and qualified to represent clients in the area of Financial Industry Regulatory Authority (FINRA) law. This includes investors who have suffered investment losses and seek to pursue damages against their brokers and broker-dealers in FINRA arbitration.

At Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com), our experienced FINRA attorneys have helped thousands of investors to recover many millions of dollars from their brokerage firms and financial advisors for playing a part in causing their investment losses. Our legal team has over a century’s worth of combined experience in securities law and the securities industry.

SSEK Law Firm has been fighting for clients for over 30 years. Call us today at (800) 259-9010.

Why Do You Need a FINRA Arbitration Attorney and Not Just Any Attorney?

Any investor who decides to work with a registered broker must sign a mandatory arbitration clause in which they consent to resolve any disagreements through FINRA dispute resolution. This means that in the event of financial losses caused by financial advisor misconduct or negligence, the customer agrees not to sue. Instead, they must look to a panel of FINRA arbitrators to decide the outcome of their case.

A FINRA arbitration claim is not the type of legal claim that you want to pursue without knowledgeable FINRA attorneys representing you. This means making sure you don’t hire just any kind of attorney.

Because securities arbitration is a niche area of law, you want someone who is well-versed in the arbitration process and FINRA rules, knows how to advocate on your behalf, and can protect your legal rights.

You also need a legal team that understands how to prove the particular claims you are making, whether it be unsuitability, churning, misrepresentations and omissions, breach of fiduciary duty, failure to supervise, or another allegation.

What Can a FINRA Arbitration Attorney Do for You?

Hiring the right FINRA lawyer for your case can make all the difference in how much you may ultimately recover in damages from your brokerage firm. Not only can a good FINRA attorney determine whether you have grounds for a legitimate claim, which means that broker negligence or misconduct did contribute to your losses, but also, once your legal team determines that there is one, they can:

  • File your statement of claim. This is your legal complaint and should provide strong evidence for why you should receive damages.
  • Get your case ready for FINRA arbitration.
  • Appear before the arbitration panel on your behalf.

A savvy FINRA attorney will be able to guide you through the arbitration process, including letting you know what to expect. Except in rare instances, FINRA arbitration awards granted by the panel of arbitrators are usually final. This is another reason to work with a FINRA arbitration attorney who has years of experience recovering damages on behalf of investors. You want the best outcome possible for your claim.

In some cases, a skilled FINRA attorney may also be able to negotiate a settlement with your broker-dealer before an arbitration ruling is reached. For more information, visit FINRA Arbitration FAQs. In the event that you do NOT have grounds for a viable securities case, then a reputable FINRA lawyer will tell you honestly that it doesn’t make sense to file a claim.

Choosing the Right FINRA Attorney for Your Securities Case

You want to work with a FINRA law firm that isn’t just experienced in FINRA arbitration and all aspects of securities law. Your legal team should also be ethical, passionate about what they do, and committed to serving your best interests.

SSEK Law Firm has built a reputation as FINRA attorneys who care about their clients and will zealously fight for their financial recovery. Call (800) 259-9010 or contact us online to schedule your free, no-obligation initial case consultation.

Client Reviews
"I am going to miss conversations with you, Sam Edwards. You’ve been a wonderful lawyer and a friend. I loved learning legal jargon from you. But, even more, it is your self-respect and commitment to your position that I admire and your persistent patience-your equanimity. With great appreciation, thank you!" M.B.
"My experience with Ryan Cook has been very positive. Through every step of the litigation he explained what to expect to happen. When I spoke with him later he reviewed the process. He was very patient, and I never felt rushed. I have already told friends how wonderful he is." L.R.
"I want you to know that I very much appreciate your expertise, hard work, and guidance that led to a satisfactory resolution with Raymond James. From our first meeting, I felt "heard" and that my situation and story were respected. Every subsequent interaction I had with any of you - in person, via email, or by phone - only corroborated that feeling. What great work you do on behalf of people like me who have been wronged, yet don't know how to navigate the appeals/mediation/arbitration process as you do. I will be forever grateful." M.L.
"Good positive experience. Guided us through a difficult process and was pleased with the outcome. Everyone I dealt with was exceptional." A.G.
"Good intelligent attorneys who never miss a beat. I set my expectations high, and they delivered above and beyond. Do not miss the opportunity to let SSEK represent you. Top-notch, efficient and effective firm." S.M.
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