Securities Arbitration & Litigation

Securities Arbitration

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 then 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.

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