Inoriseo

When you file a claim in FINRA arbitration against a brokerage firm, discovery — the exchange of documents and information — is one of the most consequential phases of your case. The FINRA discovery process runs on the FINRA Code of Arbitration Procedure for Customer Disputes (the “Customer Code”), principally

If your broker recommended investments that caused significant losses, you may be wondering whether you have legal recourse. The short answer is that you may have a remedy if your broker committed actionable misconduct — but not in court. Because nearly every brokerage account agreement contains a binding pre-dispute arbitration