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  • Attorneys David Meyer and Matthew Wilson have been selected to the list of Super Lawyers since 2011 and 2015 respectively.

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  • Attorney David Meyer was selected as the 2015 Lawyer of the Year for Professional Malpractice Law – Plaintiffs for Columbus, OH by Best Lawyers®.

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  • Attorney David Meyerhas been selected to the list of the Best Lawyers in America® for Mass Tort Litigation / Class Actions – Plaintiffs and Professional Malpractice Law – Plaintiffs every year since 2011.

Can I file a stockbroker misconduct claim in court or do I have to go through arbitration?

More than likely, your stockbroker misconduct claim will be handled in mandatory arbitration before the Financial Industry Regulatory Authority (FINRA). The majority of broker disputes are heard in front of a panel of arbitrators versus before a judge and jury. When you signed paperwork with your stockbroker, there was probably a provision included in your documents that outlined the details of how a dispute must be handled.

You may not have realized that you were agreeing to have potential claims resolved in stockbroker arbitration. There are some benefits of FINRA arbitration though, that should not be overlooked. For example, claims handled in arbitration generally cost less than going to trial and it typically does not take as long to recover your award. In addition, aggrieved investors who pursue claims in FINRA arbitration have the choice as to whether to have the case heard by an “all public” panel of arbitrators or to include one “industry” arbitrator who is knowledgeable in the securities industry.

For more information, contact an experienced investment fraud attorney at Meyer Wilson, LPA by calling or filling out our online form. The case evaluation is free. 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.

Need More Information?

Investment misconduct can be complex and confusing. That’s why we’re here to help you. Visit our Common Questions page to find in depth answers directly from our attorneys. Get More Answers
Have You Been a Victim of Investment Fraud?

You trusted your financial advisor with your money, but now you're left wondering what went wrong. If you or a loved one suffered losses because of investment misconduct, Meyer Wilson can step in and fight to recover your losses. The team of investment fraud lawyers at the firm has been helping people like you since 1999 by winning judgments, settlements and verdicts worth hundreds of millions of dollars against brokerage firms, financial advisors and banks.

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