Santa Rosa Law Firm (707) 528-2882

FINRA Law Firm

FINRA Law Representation

Merrill, Arnone & Jones has experience in a unique area of FINRA law, providing representation in claims and defense for the following types of matters:

  • Investor arbitration claims involving brokers and investors
  • Promissory note arbitrations between individual brokers and securities firms
  • Employment matters between individual brokers and securities firms

FINRA arbitration utilizes its own separate and unique procedures for both employment and investment disputes which are not applicable to the courts.

Almost all brokerage firms require in their initial agreements with investors that any disputes be resolved in a FINRA Arbitration.

The investor related claims range from unsuitable investments, over-concentration, churning of accounts with excessive fees and commissions, unauthorized trading, or fraudulent and / or misleading statements resulting in an investment.

FINRA Arbitration is intended to be an expedited forum to resolve these issues where there is an exchange of documents and information. There are no depositions. You merely need to show up at the hearing.

Our Santa Rosa Attorneys can help investors, brokers, and employees diligently through this process.

Contact Michael J. Fish for more information on FINRA Arbitration.