Category: Stockbroker Mediation

FINRA Issues Warning Over Non-Lawyer Arbitration Representatives

The Financial Industry Regulatory Authority (FINRA) recently released a statement warning investors that a number of non-lawyer representatives have exploited customer claimants they represented in FINRA’s arbitration and mediation forum. FINRA was made aware of this issue after customer claimants made allegations, reporting that their representatives took settlement money they were aware of, were represented… read more

What Happens When You Can’t Reach a Settlement in Securities Mediation

Although stockbroker mediation can be a powerful tool for harmed investors, there are times when you are unable to come to a settlement. FINRA reports that about 80 percent of cases that pursue their mediation program are resolved in mediation, but what happens if you are part of the remaining 20 percent that is unable… read more

How Does FINRA Mediation Work?

Learn more about the process of FINRA mediation from a securities mediation attorney, and find out what happens if you don’t sign the settlement agreement. If you have been wronged by your stockbroker or brokerage firm, you may be facing mediation through the Financial Industry Regulatory Authority (FINRA). The mediation process allows you and your… read more