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
Investment fraud costs American investors billions of dollars each year, yet many victims only realize they have been defrauded after suffering devastating financial losses. The Federal Trade Commission’s (FTC) Consumer Sentinel Network consistently ranks investment scams among the highest-loss fraud categories reported by consumers, with billions of dollars in reported
When a six- or seven-figure portfolio drops sharply, the first question is whether the loss came from ordinary market risk or from the conduct of the financial professional who managed it. Those are very different situations. Market losses are generally not recoverable. Losses caused by an unsuitable recommendation, excessive trading,
If you have suffered significant investment losses because of broker misconduct, fraud, or negligence, the lawyer you choose can materially affect how effectively your claim is investigated, framed, and presented. Choosing a securities lawyer is not the same as hiring a general-practice attorney: securities disputes turn on a specialized body
When your brokerage account generates frequent trading activity but your portfolio value stagnates or declines, you may be witnessing churning — a form of securities fraud in which a broker executes excessive transactions primarily to generate commissions rather than to serve your investment objectives. For investors with substantial accounts, the
FINRA arbitration is the mandatory dispute-resolution forum for most claims against FINRA member firms. Customers can compel arbitration under Rule 12200 even without a separate arbitration agreement. Eligibility under Rule 12206 is procedural, not a true statute of limitations — a six-year FINRA dismissal does not necessarily bar a court
When you suspect securities fraud, broker misconduct, or other investment-related wrongdoing, filing a complaint with the Securities and Exchange Commission (SEC) represents one of the most important steps you can take. The SEC complaint process provides investors with a formal channel to report potential violations and contribute to enforcement actions
Understanding the securities arbitration timeline is essential for investors considering legal action against brokers, financial advisors, or brokerage firms. As the SEC’s Office of Investor Education explains, arbitration provides a faster alternative to court litigation for resolving securities disputes. Whether you have experienced investment fraud, unsuitable recommendations, or broker misconduct,
When you discover your broker or brokerage firm has caused you financial harm, you face a critical decision: pursue your claim through FINRA arbitration or file a lawsuit in court. For most securities disputes in 2025 and 2026, that choice has already been made for you through mandatory arbitration clauses
If you suspect you have been the victim of securities fraud, gathering the right evidence is critical to building a successful case. Whether you pursue a claim through FINRA arbitration, file a complaint with the SEC, or pursue federal litigation, the strength of your evidence determines your chances of recovery.
When you discover that your broker or brokerage firm has caused you significant financial losses through misconduct, choosing the right legal forum to pursue your claim becomes a critical decision. As of 2026, understanding the differences between FINRA arbitration and court litigation can significantly impact the outcome, timeline, and cost
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