Securities Arbitration & Litigation
McCabe Rabin represents investors and members of the public in claims against brokerage firms, investment advisors, and other investment professionals who have mismanaged their clients’ assets and caused investment losses. These claims are typically subject to mandatory arbitration before the Financial Industry Regulatory Authority or FINRA.
Filing a case with FINRA is not like filing a case in court. FINRA cases are not decided by judges or juries. Instead, FINRA cases are decided arbitrators, usually a panel of three. The parties select these arbitrators through a ranking process.
FINRA conducts arbitrations all over the United States and even in foreign countries. The arbitration is usually scheduled in a location close to the investor’s home.
Preliminary hearings are commonly conducted by telephone, and the final arbitration hearing takes place in person. The final arbitration hearing is conducted much like a trial. The lawyers make opening statements, call and cross-examine witnesses, and give closing statements. The arbitrators usually issue their decision in writing within 30 days of the final arbitration hearing.
If you believe you have a claim against an investment professional, contact the securities attorneys of McCabe Rabin. It is important to find a lawyer who is skilled in the securities arbitration arena. The FINRA arbitration forum is no place for a lawyer to “learn as he goes.” The Wall Street firm, regional broker-dealer, or investment bank you are trying to sue will have an experienced arbitration attorney, and you should have the same.
If you would like to consult with an attorney at McCabe Rabin regarding a securities matter, please contact us online or call 561-659-7878 or Toll Free 877-915-4040.
Frequently Asked Questions
- What is the difference between a misrepresentation and an omission?
- How long is the securities arbitration process?
- How can I recover money lost due to investment negligence or abuse?
- What are the Top 10 Signs of Possible Stockbroker Abuse?
- How do I check out my stockbroker?
- What is an investment objective?
- What is suitability?
- How do I evaluate my securities claim?
- What is the blue sky law?
- What is FINRA?
- Can an arbitration award be vacated or appealed?
- What is rescission of a trade?
- Who may be considered a vulnerable client?
- What is options trading?
- What is an alternative investment?
- What is insider trading?
- What is an annuity?
- What is a pump and dump scheme?
- What must an investor prove to bring a claim in FINRA?
- What is unauthorized trading?
- What does a stockbroker’s title mean?
- What are market adjusted damages?
- What is a Private Placement?
- What is an ETF?
- What is the difference between a broker and a registered investment advisor?
- What is a discretionary account?
- What is churning?
- What is overconcentration?
- How can accountants identify securities claims?
- What is margin?
- Can I bring my investment loss case in court?
- Who are the typical defendants in a securities claim?
- Can victims outside the United States sue for investment losses?
- How do securities attorneys get paid?