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Who Conducts the Arbitration Proceedings?

If you had an account(s) with any brokerage firm, you will be required to arbitrate through the Financial Industry Regulatory Authority (FINRA). In every new account form for any broker dealer, there will always be an arbitration clause. So, if you signed a new account form, physically or electronically, you agreed to arbitration. FINRA is the Regulatory body that oversees all registered brokerage firms.

If you were dealing with a Registered Investment Advisor (RIA), most of which are not covered by FINRA, most likely you will have to arbitrate through the American Arbitration Association (AAA).

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.
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