FINRA Arbitration Attorney for Houston Investors in FINRA Disputes

FINRA Arbitration Attorneys help navigate the arbitration process.

You may have entered into a fiduciary relationship with an investment Broker/Dealer. At the beginning of that fiduciary relationship, you likely entered into certain stipulations in contract. You may have agreed to resolve your dispute through binding arbitration. It is typical for securities disputes to be resolved through arbitration. The Financial Industry Regulatory Authority (FINRA) governs securities arbitrations. FINRA member firms and licensed brokers are often required to participate in securities arbitrations. FINRA has its own Code of Arbitration that governs the arbitration process. If a mandatory clause is included in the contract, it may be impossible to seek a financial result through litigation.

It is important for an investor in a broker dispute to call a law firm like The Weaver Law Firm. David Augustus, attorney at The Weaver Law Firm, has a strong legal experience spaning from representing individual clients involved in business disputes to representing thousands of people as counsel in several securities and consumer fraud class and mass tort actions. He understands the FINRA arbitration process through experience. The Weaver Law Firm us ready to fight as long and as hard as it takes to represent our client's best interest. That is how reputations are built.

When Houston brokerage firms fail and breach their duty to supervise their brokers, the brokerage firms should be held liable. The Houston, Texas brokerage firms should be responsible for the losses that occur due to their negligence.

How do you Resolve securities disputes through FINRA arbitration?

Investment disputes can be resolved with an experienced attorney that understands securities laws. Through FINRA's arbitration process, or through mediation, an attorney can represent you to hold the Houston brokerage firm responsible. An experienced can help a harmed investor by filing a FINRA arbitration proceeding against the broker and the brokerage firm that employs the broker. Sometimes the broker and investor are able to resolve the dispute outside of arbitration. However, other times the situation may require a panel of arbitrators or a single arbitrator to decide the outcome of the dispute.

Mediation is also an option. Even though the FINRA arbitration process has started, the investor and broker can participate in mediation. At any time until a final award is decided, the parties can resolve their dispute. A mediator is a neutral third-party who facilitates an agreement between the parties. The mediator does not make an award. The mediator does not provide a binding judgment or award. The mediator tries to work out a deal.

Unlike mediation, all decisions by the arbitration panel are final. Investors may have little to no recourse in terms of appeals in the arbitration process. If a mandatory clause is included in the contract, it may be impossible to seek damages with a judge or a jury trial.

A harmed investor should hire an attorney who understands the complexities of the arbitration proceeds. The attorney should know the complexities of these types of cases as well. David Augustus at The Weaver Law Firm can help.

Speak with a Houston securities arbitration lawyer if a broker took advantage of you.

When you invest in the stock market, a broker should make sure that you understand the risk or reward. If you have taken a significant loss on an investment, your loss may not be normal. The broker make have invested your money too aggressively for you. Such losses could be due to negligence on the part of your broker or brokerage firm. At The Weaver Law Firm, our securities arbitration lawyer, David Augustus can help. He has helped many claimants in securities arbitration cases recover from investment losses. You are welcome to call and schedule an appointment now at 713-572-4900.