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Washington, DC FINRA Arbitration Lawyers Fighting for Investors

Your advocates in securities arbitration

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory, independent organization tasked with protecting investors throughout the country by ensuring that brokerages and investment firms are following the laws which govern them. In short, they are the watch dogs of the investment world. To this end, when an investor suffers harm because of broker negligence or an act of securities fraud, that investor may bring a claim before a FINRA arbitration panel in order to recoup his or her losses.

FINRA arbitration is a complex process, and few attorneys have the experience, the skills or the resources to handle these claims. That is why so many Washington, DC investors turn to The Frankowski Firm to represent their interests before FINRA securities arbitration panels. We are your trusted advocates when your broker, advisor, or investment firm’s decisions caused you harm.

Common questions about FINRA arbitration

Though FINRA plays a crucial role in regulating the actions of brokerages and investment firms, few investors truly understand their rights when it comes to broker fraud and negligence. Our Washington, DC FINRA lawyers are often asked:

  • How does the FINRA arbitration process work? When you participate in arbitration, you are agreeing to have your case heard in front of a panel of arbitrators as opposed to a judge and jury. These arbitrators are selected through a ranking and striking process. There will be a pre-hearing conference, submission of discovery, a final evidentiary hearing (complete with witness testimony) and, then, a decision handed down by the panel.
  • Why do I need an attorney to represent me? Your attorney not only puts together the appropriate documentation and evidence to build your case, but also participates in the selection of the arbitrators. This is a crucial step in ensuring that investors’ claims are heard by a fair and impartial panel.
  • What kinds of damages can I collect? Once the evidence has established that an act of negligence or fraud has occurred, you can make a claim recoup the money you lost. You may also be entitled to additional monies through the disgorgement of profits, to punitive damages, and to lost potential revenue. However, note that simplified arbitration, used in cases where the damages are valued at $50,000 or less, may deny you access to some of these options.
  • How long does the arbitration process take? Though arbitration is significantly more expedient than litigation, it can still take time to build a successful case. Generally speaking, investors have up to six (6) years to bring a claim for damages against a broker or investment firm.
  • Is FINRA arbitration mandatory? It depends on whether or not you signed a contract that that obligates you to go through arbitration. If your contract does not stipulate that you must go through arbitration, we can walk you through the benefits and challenges of pursing a case in trial.

At The Frankowski Firm, we put our years of experience and legal acumen to work on behalf of Washington, DC victims of a host of investment issues. Whether you seek redress through the courts or in front of a FINRA panel, you want an attorney who will be your advocate, and represent your best interests. As an investor, you have rights. As your Washington, DC FINRA arbitration lawyers, we can uphold them.

Helping investors throughout the greater DC Metro area recover their losses

FINRA securities arbitration requires competent counsel. The Frankowski Firm has represented clients throughout the greater DC area in both traditional and simplified arbitration. To learn more about our services, or to schedule a consolation with an experience securities arbitration attorney, please call 888.741.7503 or fill out our contact form.

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