Experienced Securities Arbitration Lawyer’s Manage Complex Disputes

Knowledgeable attorney’s reach favorable resolutions for brokers and investors.

Reliance Law Firm represents brokers/dealers, trading firms, investment advisory firms, registered representatives and investors in arbitration and mediation before the National Association of Securities Dealers, the New York Stock Exchange and other securities regulators. If you handle securities, we know that the integrity of your trading practices is your firm’s greatest asset. If you're an investor, you have a right to seek redress through arbitration if you have a complaint against an investment firm. Through scrupulous investigation, I assemble the evidence necessary to represent your interests in the Las Vegas area or Nevada.

Proven advocate guides clients through the securities arbitration process

The Financial Industry Regulatory Authority (FINRA) is an organization authorized by the U.S. government to regulate securities firms and investors and provide dispute resolution services when complaints are issued. Approximately two-thirds of all securities arbitration is between broker/dealers and clients alleging misconduct. The most common allegations of misconduct by a broker or a brokerage firm are:

  • Account overtrading (churning)
  • Breach of contract
  • Breach of fiduciary duty
  • Failure to supervise
  • Market manipulation
  • Misrepresentation/fraud
  • Mutual fund share class violations
  • Negligence
  • Omission of facts
  • Unauthorized trading
  • Unsuitability

As skilled advocates who understand industry regulations and practices, we offer both investors and brokers the skilled representation they require when securities disputes occur.

Experienced legal counselors represent clients in FINRA claims

Investors with complaints against financial advisors or brokerage firms can initiate a FINRA arbitration proceeding by filing a FINRA claim. If the claim moves to a hearing, the dispute will be settled by an arbitrator based on the claim's merits and evidence presented by all parties. We represent both investors and firms in these proceedings. It's important to know that final decisions are binding, so neither party can pursue a result through litigation. We provide the skilled advocacy and knowledgeable advice you need to protect your interests.

Securities law is a complex area of practice, and arbitration proceedings require legal representation by an attorney with the background and experience to represent your financial interests effectively. As a securities law firm, Reliance Law Firm is trusted for the skilled representation provided to clients.

Contact a knowledgeable Business Law firm for your securities arbitration case.

Whether you are an individual investor filing a FINRA claim or an investment firm seeking to protect your reputation and business, Reliance Law Firm provides skilled representation in arbitration. To schedule a consultation at our Las Vegas, headquarter office, call 702-205-3500 or contact us online.