Arbitration Attorney for Houston Investors in Broker Disputes
Arbitration Attorneys help navigate the arbitration process.
If you have hired an investment Broker to advise you concerning your investment and retirement accounts, you likely signed a contract at the beginning of that relationship requiring you to resolve any and all disputes through binding arbitration. The Financial Industry Regulatory Authority (FINRA) regulates brokers and governs these types of customer arbitrations. FINRA has its own Code of Arbitration and its own process.
It is important for an investor in a broker dispute to call a law firm like The Weaver Law Firm. Richard Weaver, an attorney at The Weaver Law Firm, has strong legal experience representing investors, spanning from representing individual clients in disputes against brokers to representing thousands of clients as counsel in several securities class actions. An experienced lawyer will understand the FINRA arbitration process and The Weaver Law Firm is ready to fight as long and as hard as it takes to represent its client’s best interest. That is how reputations are built.
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, an attorney can represent you to hold the Houston brokerage firm responsible. An experienced attorney can help an 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. Other times, however, the situation may require an arbitrator to resolve the dispute.
Mediation can be 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 provide a binding judgment or award. The mediator attempts to work out a compromise.
Unlike mediation, all decisions by the arbitration panel are final. Because arbitration decisions are very difficult to appeal, it is imperative to have experienced representation throughout the process. If a mandatory clause is included in your broker contract, it may be impossible to seek damages from a judge or jury.
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. An attorney at The Weaver Law Firm can help.
Speak with a Houston 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 risks of an investment. If you have taken a significant loss on an investment, your loss may not be normal. The broker may 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 attorneys want to help. When Houston brokerage firms fail to supervise their brokers, the brokerage firms should be held liable. Please call 713-454-7875 to schedule an appointment.