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FINRA arbitrations

On a selective basis, our firm represents securities brokerage clients and registered representatives in arbitrations before the Financial Industry Regulatory Authority (“FINRA”), which are made mandatory by standard provisions of customer account and employment agreements used by the securities industry.  Pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, brokerage customers may soon be allowed to elect between court and arbitration.  Given the breadth of our commercial litigation practice, and depth of our courtroom experience, we are prepared for that change.

• Healy v. Banc of America Securities, LLC, FINRA Dispute Resolution Case No. 09-01424 (Jul. 6, 2010)
• Spragins v. Linsco/Private Ledger Corp., NASD Dispute Resolution Case No. 04-07713