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Meyer Wilson

Recovering Losses caused by Investment Misconduct

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The Good, the Bad and the Ugly of Stockbroker Arbitration

When you have a claim against your stockbroker, whether it has to do with unauthorized trading, unsuitability or some other issue, it will typically not be resolved in a courtroom. The majority of stockbroker misconduct cases are handled in mandatory arbitration before the Financial Industry Regulatory Authority (FINRA).

Why is stockbroker arbitration required? At the time you began the relationship with your broker, you most likely signed an arbitration provision, which would have been included in your paperwork.

Mandatory FINRA Arbitration Has Its Advantages

While you may have no other option but stockbroker arbitration, it definitely has its advantages. Some of the benefits include:

  • The procedure is simplified, which can ultimately reduce the costs involved in recovering your losses.
  • Your case will be presented before a panel of arbitrators who have completed training provided by FINRA and who have elected to serve as arbitrators.
  • Any arbitration award is generally paid quickly after the panel reaches its decision.

There are Some Drawbacks to Stockbroker Arbitration

Arbitration does have disadvantages, such as:

  • The arbitration award is considered final and binding. Unlike appealing a judgment made in court, it is very difficult to appeal the panel’s decision.
  • Pursuing further legal action to recover your losses is generally not permitted. As mentioned above, when the panel reaches its decision, your case is brought to a close under most circumstances.

An Investment Fraud Attorney May Be Able to Help You

If you have lost money due to stockbroker misconduct and are considering arbitration, you may need the help of an experienced lawyer. The brokerage firm will have sophisticated attorneys on their side, looking to avoid liability. You need to ensure that you have a knowledgeable investment fraud lawyer in your corner to help you win your case.

Contact the law firm of Meyer Wilson, LPA for a free case evaluation by calling toll-free 1.866.827.6537 or filling out our online form. Our lawyers are licensed in Ohio and California and we represent investors nationwide in stockbroker arbitration and litigation claims.

Be sure to order a FREE copy of attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You. You can learn more by reading the book description below.



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Five Signs of Investment Fraud…And What to Do if it's Happened to You is intended to to expose the ugly truth behind investor fraud and its devastating consequences

Learn how to recognize the key signs of investor fraud and what to do if it's happened to you... BEFORE IT'S TOO LATE.  David P. Meyer is a renowned securities and investment fraud attorney. If you entrusted your investments to a financial professional and are worried that fraud or illegal conduct has occurred, you simply CANNOT take any chances, you NEED to get yourself a copy of this report today.

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