Gathering Relevant Documents

Investor Claims Is What We Do - All Day, Every Day

Since 1999 our law firm has recovered more than $350,000,000 for victims of investment fraud and misconduct.
  • Jury Verdict Won Against Prudential Securities $262 Million
  • Recovered for 100-Year Old Widow $30 Million
  • Recovered in Retirement Losses $10 Million
  • Recovered for a Large Group of Individual Investors $6.5 Million
  • Recovered for Elderly Victim in Ponzi Scheme Case $3.8 Million
  • Recovered for Elderly Ponzi Scheme Victim $3.2 Million
  • Recovered for More Than 50 Families of Ponzi Scheme in California $3.2 Million
  • Recovered for 35 Families in Northeast Ohio $3.1 Million
  • Losses Recovered for 20 Retirees $3 Million
  • Recovered for Retired Physician Against Major Wall Street Firm Prior to Filing FINRA Arbitration $2.5 Million

Gathering Documents to Prove Investment Loss

After your investment loss claims have been filed, your FINRA arbitration case will proceed to what’s called the “discovery” process. During this process, the lawyers gather the necessary documents and uncover facts relevant to the various claims and defenses at issue in your case. The parties in arbitration – both the investor and the brokerage firm – engage in discovery so that they can be properly prepared for the final arbitration hearing and avoid surprises that can adversely affect the outcome of the case.

In FINRA arbitration, most discovery takes place in the form of documents that the parties have in their possession relating to the claims and defenses in the case. In an effort to try to streamline the discovery process and cut down on the number of discovery-related disputes, FINRA has declared that certain documents are presumptively discoverable in all customer disputes. This includes a list of documents that brokerage firms are expected to produce in customer disputes, as well as a separate list of documents that investors are expected to produce.

For brokerage firms, these documents include new account forms signed by the customer; documents relating the customer’s investment objectives and risk tolerance; notes maintained by the brokerage firm about the customer; compliance and supervisory reports relating to activity in the customer’s account; any recordings, telephone logs, and notes of telephone calls or conversations about the transactions at issue; and numerous other documents relating to the customer’s investments and the brokerage firm’s supervisory efforts.

Likewise, customers in FINRA arbitration are expected to produce documents including prior years’ tax returns, including both individual and business returns; net worth statements; emails with the brokerage firm; account statements from other, third-party brokerage firms; copies of other complaints made by the investor involving other brokers or brokerage firms; the customer’s resume; and various other documents as well.

While arbitrators do recognize exceptions to the discovery lists in certain cases, we tell our clients to be prepared to gather all of the documents identified by FINRA. In the video below, attorney Courtney Werning explains what we do with your documents once we receive them.

It is critically important for investors to hire an experienced securities arbitration attorney when pursuing claims in FINRA arbitration. If you have questions about a potential case or the discovery process in particular, please give us a call today.

The Meyer Wilson Way

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  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is President of Public Investors Advocate Bar Association (PIABA)
  • Over a Thousand Investor Claim Cases Since 1999
  • Exclusive Focus on Investor Claims & Class/Mass Action Lawsuits
  • Deep Bench of Skilled Attorneys and Staff Members

TRUSTED BY OVER 1,000 INVESTORS

Meyer Wilson has represented over 1,000 individual investors in high-stakes claims across the country, and has recovered over $350 million on their behalves. See what former clients have to say about our team.

  • “I primarily worked with Courtney Werning throughout the process and she was informative and knowledgeable. I trusted and fully recommend Courtney and her team.”

    - S.R.
  • “The communication throughout the process was on par - and they took the time to indulge me with the various questions and opinions.”

    - R.G.
  • “What I truly appreciated was getting a great result for my Mom with limited involvement/stress on her.”

    - S.W.
  • “We went to arbitration with the other respondent and I got to see firsthand the level of professionalism and expertise the Meyer Wilson firm can deliver.”

    - D.V.
  • “Chad would take the time to call and talk with me. His explanations were always clear and concise. I also appreciate all the effort put into the details and statistics required to argue this case.”

    - P.N.
  • “Meyer Wilson was able to produce the results that we felt were obvious and warranted while several other firms and even state offices simply had trouble understanding let alone moving the case forward.”

    - B.K.
  • “My overall experience was positive and I would encourage anyone who even thinks they have been a victim of stockbroker misconduct to call David.”

    - S.T.
  • “Meyer Wilson represented me in a suit brought last year against my brokerage firm, securing a very fair and equitable settlement for me.”

    - R.G., M.D.
  • “Right from the start, you had the passion and desire to win this case for us. I have never worked with an attorney or firm as compassionate as yours. I would highly recommend your firm to anyone.”

    - G.A.

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