FINRA and AAA Arbitration and Mediation
Similar skills are needed to handle civil litigation and arbitrations, but there is a difference. Arbitration is a less formal process, and it is not enough to know how to prove the facts and argue the law. Success in this area requires the specific knowledge of how to best present your case to a panel of arbitrators who are not professional judges, without incurring unnecessary expense, while at the same time positioning the case in the most favorable light should a hearing on the merits of the dispute prove necessary.
We have handled well more than one hundred arbitration cases, primarily securities-industry related matters before FINRA. We generally work on the defense side, where we represent industry clients whose public customers claim that their accounts and investments were mishandled. We also have extensive experience in employment-related arbitrations, representing both broker-dealers and registered representatives.