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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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