Advocacy and Representation
Most disputes between investors and their brokers/brokerage firms are resolved through securities arbitration. Securities arbitration presents considerable advantages to customers because the process is quicker, cheaper and less burdensome than court litigation. Since the rules are usually streamlined, investor claims get resolved much quicker than they do through court litigation.
While most investor claims are subject to arbitration, there are some situations where the proceeding must be brought in court. Those cases include conflicts with other financial professionals, such as investment advisers, financial planners, issuers, underwriters and other third-party practitioners. These disputes would be subject to litigation in state and federal court for violations of securities laws.
Mediation is an informal, voluntary and non-binding process where each party has an opportunity to tell their story to an impartial and neutral mediator. Mediation allows the parties a great deal of control in the process by allowing them to select a mutually agreeable mediator who is knowledgeable about securities disputes. If the mediation is successful, the client avoids the risks of litigation and arbitration, as well as the costs associated therein. However, if the mediation is unsuccessful, there is no obligation to settle, and the arbitration or lawsuit will continue without any disclosure that either side was willing to settle the investor claims. Further, the mediation discussions will be kept confidential.
My Promise to You.
I have dedicated my career to protecting investors, as both a securities regulator and in private practice. I will evaluate your potential claim in an honest and forthright manner; and if you have a legitimate claim I will zealously represent your interests.
Where to Begin
Litigating a securities claim can be complex. Contact me for a free, no-obligation evaluation of your case. I’ll arrange a meeting with you to discuss your concerns, answer your questions, explain your rights and help determine if you have a case. Learn more about what to expect and where to begin.