FINRA Arbitration


The partners leading Duval & Stachenfeld's FINRA Arbitration Practice Group can boast decades of FINRA and trial experience. This proficiency translates into a proven track record of success and lower legal spend for our clients.


 

Overview

The Firm’s FINRA arbitration team consistently provides high quality representation to its clients, adding value not only by achieving superior results at arbitration, but also by doing so in a cost-effective manner. Here’s why:  Our decades of actual FINRA trial experience have provided an unparalleled understanding of this niche practice area.  

This depth of experience is important, given that FINRA arbitration has become a highly specialized area.  No longer is FINRA a simple securities dispute forum limited to the quick disposition of straightforward brokerage customer account disputes.  In the last several years, many FINRA disputes have grown in size and complexity – and amounts in controversy have increased accordingly.  Now, FINRA arbitrations can range from multi-party arbitrations involving highly structured financial products to particularized trading disputes among industry member firms.   

At D&S, our FINRA team has spent years negotiating FINRA’s unique and evolving procedural rules.  Given this expertise, we are able to obtain successful results for our clients – whether that means trying cases through award or negotiating the “right” settlement.  

Importantly, in addition to a deep background arbitrating before FINRA, all of the practice group partners have extensive trial experience.  
 

 

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