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Representing Kentucky Investors’ Rights In Arbitration

Mandatory arbitration clauses are common in investor-broker contracts. The upside is that it can prevent costly, time-consuming litigation. The downside is that investors do not have the option of a trial before a judge.

If you are an investor who has found yourself involved in a dispute with your broker-dealer, the time has come to contact Valenti Hanley PLLC. Our securities law attorneys are well-versed in all issues related to arbitration through the Financial Industry Regulatory Agency (FINRA). We serve clients throughout Kentucky, Colorado and Florida.

Mediation And Arbitration: What To Know

In mediation, all parties sit down with a neutral mediator who facilitates discussions. Ideally, the parties arrive at a mutually satisfactory resolution without requiring litigation. Similarly, in arbitration, the parties appear before an arbitrator who hears all sides and issues a final, binding decision. Brokers prefer mediation and arbitration because they are private, not public, preventing unfavorable publicity, and allow greater control over the outcome.

More Than 100 Years Of Experience Handling Securities Disputes

When an investor believes that a broker or dealer breached their contract or another legal duty, a dispute arises. Some of the most commonly mediated and arbitrated securities disputes that we see include:

  • Breach of contract
  • Breach of fiduciary duty
  • Fraud
  • Trading against investment plan
  • Conflict of interest
  • Excessive trading
  • Insider trading

Although arbitrating disputes is less formal than courtroom litigation, it is still an adversarial process where each side presents evidence and arguments. Therefore, you will need an attorney. When it comes to counsel that will advocate for your best interests and hold bad actors accountable, our securities lawyers are here to help. They have more than 100 collective years of experience practicing investment and securities law.

Answers To Your Arbitration Questions

We understand that the FINRA arbitration process can be complex, and we’re here to provide clear guidance and support. Here, we address some of the most common questions that our clients ask us.

Do you need a lawyer for FINRA arbitration? If so, why?

While it is not mandatory to have a lawyer for FINRA arbitration, having one to advocate for your side can make all the difference for you. Our FINRA arbitration attorneys have a deep understanding of securities law and finance law and give robust legal counsel throughout the arbitration process. We help investors articulate their claims, gather necessary evidence and present a strong case to the arbitrators. Our goal is to protect your interests and secure the outcome you need.

What happens if you lose in arbitration?

If the arbitration panel rules against you, the decision is typically final and binding. Unlike court proceedings, there are very limited grounds for appealing an arbitration award. It is, therefore, important to present the strongest case possible from the outset. We work diligently to present your case effectively and make your voice heard during arbitration.

What is the statute of limitations for FINRA arbitration?

Generally, investors have six years from the event or occurrence that gave rise to the claim to initiate FINRA arbitration. It’s critical to pay attention to this timeframe because if you fail to file within the statute of limitations, you may forfeit your right to arbitrate your claim. A FINRA arbitration lawyer can help determine the relevant timelines and act promptly to safeguard your rights.

How do I file a FINRA arbitration claim?

Filing a FINRA arbitration claim involves submitting a Statement of Claim and a signed Submission Agreement to FINRA. This process outlines the specifics of the dispute, the parties involved, and the relief sought. Our attorneys guide clients through each step, ensuring that all documentation is thorough and compliant with FINRA’s requirements.

How long does a FINRA arbitration take?

The length of a FINRA arbitration case depends on a variety of factors, including how complex the case is and how many parties are involved. On average, it may take anywhere from several months to over a year from the initial filing to the final hearing. Our firm is committed to making the process as efficient as possible while taking the time necessary to achieve a favorable outcome for our clients.

If you have further questions or need assistance with a FINRA arbitration matter, please don’t hesitate to contact us. Our attorneys are ready to provide the counsel you need to navigate through this process with confidence.

Speak With A Securities Dispute Arbitration Attorney Today

When a securities dispute arises, Valenti Hanley PLLC can represent you authoritatively. Please schedule your initial consultation with us today. We have law offices in Louisville, Treasure Island and Boulder. Please call us toll-free at 866-617-6209 or send us an email to contact us.