What is FINRA Arbitration?
Most every FINRA member broker-dealer and associated person is subject to SEC-approved FINRA Rules that mandate disputes being resolved through arbitration before a panel of one to three arbitrators. Not only do FINRA Rules require that disputes “arising out of the sale of securities” be resolved through this process, but if you are an employee of a broker-dealer or financial services firm that is a member of FINRA it is likely you have or will have contracted for resolution of any disputes in this forum.
Other FINRA Rules That May Affect Your Business
Our Law Firm Provides Legal Counsel & Representation for a Range of Securities & FINRA-Related Cases.
FINRA Arbitration
Investment Fraud
Complaints & Disputes
Contract Disputes
Settlement Negotiations & Mediation
FINRA vs. AAA
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Securities Practice Group
The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*
* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.
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