When a financial advisor acts inappropriately, investors often suffer significant losses. Common examples include misrepresenting or failing to disclose the risks of an investment, recommending frequent trades for the sole purpose of generating commission, using high-pressure sales tactics, or committing other types of misconduct.
Securities laws have complex rules and regulations. As such, investment loss claims require an extensive understanding of these laws to achieve the best possible outcome. The FINRA arbitration lawyers at Oakes & Fosher represent defrauded investors in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA).
Don’t let your financial advisor get away with negligence or securities fraud. If you’ve suffered losses, contact us today for a free, confidential consultation.
How Our Investment Fraud Lawyers Help With FINRA Arbitration
FINRA is a nonprofit organization authorized by Congress to regulate brokerage firms and the securities industry. Although a vast majority of brokerage firms prohibit investors from suing them in a court of law, victims can file arbitration claims through FINRA.
Like any other claims process, FINRA arbitration has stringent regulations, such as the Code of Arbitration Procedure for investment fraud claims. All FINRA arbitration decisions are final and can only be appealed in limited circumstances.
For this reason, you’ll want to partner with an experienced FINRA arbitration lawyer who understands the securities industry and all procedural rules. At Oakes & Fosher, we specialize in securities arbitration. We’re familiar with the forum, arbitrators, rules, and how to navigate cases.
Through FINRA arbitration, our lawyers help investors recover lost money, securities, and other damages resulting from their brokers’ misconduct. Our firm’s vast resources and experience have enabled us to take on many large financial institutions successfully.
Several types of financial disputes can support arbitration claims. Our FINRA lawyers will carefully analyze your case to determine whether you should file a claim. Contact us today to learn more about your options – our consultations are always confidential and free.
How Our FINRA Arbitration Lawyers Navigate Investment Fraud Cases
Arbitration and the court of law have many similarities. Court hearings result in a binding verdict, and arbitration is the same. Those overseeing the arbitration listen to each side and use that information to decide the case. The outcome is final, with limited opportunity for appeal.
Unlike courtroom proceedings, however, arbitration is less formal and costly. It also generally results in quicker decisions.
The FINRA arbitration process is as follows:
In general, any FINRA arbitration that requires a hearing takes 12 to 18 months to resolve.
Our FINRA arbitration lawyers at Oakes & Fosher have extensive knowledge of securities laws and the arbitration process. We’ll develop a strong strategy to recover your investment professionally and confidentially. Our top priority is ensuring that our clients receive the highest-quality FINRA arbitration legal services possible and recover fair compensation for the losses they endured.
You Do Not Have to Navigate the FINRA Arbitration Process on Your Own
At Oakes & Fosher, our FINRA arbitration attorneys understand the damage a financial advisor’s misconduct or negligence can cause you. We also know how frustrating it can be to navigate the claims process, take on a financial institution, and understand the complex regulations.
We believe no one should have to suffer investment loss from a financial advisor’s misconduct or negligence. Unfortunately, though, victims call us every day. If this has happened to you, we are here to help.
Oakes & Fosher provides clients with a knowledgeable and experienced FINRA attorney who can:
- Identify how your advisor or firm acted inappropriately
- Investigate what happened and develop a compelling case
- Navigate the FINRA arbitration process on your behalf
- Help you achieve the best possible results through arbitration
We have the knowledge, experience, and resources to handle any FINRA arbitration and many other types of financial disputes and securities fraud cases.
If you suspect your advisor or firm acted inappropriately and it affected your financial health, contact our team as soon as possible. Our securities fraud attorneys at Oakes & Fosher provide confidential, complimentary consultations.
Since 2007, Oakes and Fosher has won more cases on behalf of individual investors tried before full FINRA panels than any other attorney in the country.
We work on a contingency fee basis, meaning you will only be charged for our services if we successfully collect money for you.
Contact us online or by calling (314) 428-7600. Our FINRA lawyers can help.
Oakes & Fosher, LLC
1401 South Brentwood Blvd.
Suite 250
St. Louis, MO 63144
314.804.1376
