Securities Arbitration and Regulatory Matters

To say that the stock market has demonstrated its volatility (up and down) over the past ten to twelve years would be a severe understatement. While market performance cannot be predicted with any degree of certainty, what can be predicted is that typically, the more volatile the market performs, the more alternative investments seem to be offered and the more legal disputes arise between investors and their brokerage firms. Most of these disputes are resolved in arbitrations administered by the Financial Industry Regulatory Authority (FINRA - formerly the NASD and the NY Stock Exchange).


While securities arbitrations are not as formal as litigation in court, they do represent specialized matters that are governed by specific statutes, codes, rules and regulations. Accordingly, proper legal representation for securities matters can only be provided by an attorney with experience in this area of law. In that regard, the founder of Herman Legal, Alan M. Herman, has more than twelve years of experience representing investors, registered representatives and broker-dealers in FINRA arbitrations (both customer and industry disputes). Alan also has substantial experience representing licensed individuals in investigations administered and/or conducted by State regulators, FINRA and the U.S. Securities and Exchange Commission.


Whether you are a potential claimant or respondent in a FINRA arbitration, we will provide a free review and analysis of the applicable pleadings and investment account records as part of our free consultation. Feel free to contact us with any inquiries.