FINRA – Arbitration, Mediation and Regulatory Cases
Resolving Disputes Through FINRA
Arbitration and Mediation ◊ Securities Regulatory Cases
Because litigation is so expensive, many disputes that once would have gone to trial are now being resolved through FINRA arbitration or mediation. If you have to resolve a dispute through FINRA, be sure you have an experienced attorney on your side.
Prior to 2007, many different stock exchanges ran arbitration programs of their own. In 2007, the National Association of Securities Dealers (NASD) merged with the New York Stock Exchange (NYSE) to create FINRA.
Now, FINRA conducts arbitration and mediation, regulates broker conduct, conducts enforcement proceedings, handles compliance work and helps resolve disputes.
Although FINRA is a relatively young organization, its constituent parts are not. Our attorneys have a great deal of experience handling arbitrations, mediations and regulatory cases. Our lead securities lawyer David E. Robbins has over 35 years of experience in the financial industry.
Mr. Robbins has served as an arbitrator and mediator for both the NYSE and the NASD. He serves as an arbitrator for the American Arbitration Association and FINRA and was selected to be on FINRA’s National Arbitration and Mediation Committee for four years.
He writes the authoritative textbook Securities Arbitration Procedure Manual, which is used in law firms, law school classrooms and brokerage firms across the nation. He is also a prolific writer of articles on the practice of this very specialized area of law. He is seen as a national authority on securities and investment disputes.
How Arbitrators Do Their Job
Learn how FINRA’s securities arbitrators are advised to conduct cases – from two of its highly experienced arbitrators. In June 2008, I and a well-respected law professor answered questions from FINRA’s arbitrators on issues that often arise in securities arbitrations. Listen now to the unedited rebroadcast of the live hour-long phone-in program.