Open Accessibility Menu
Meet Our Legal Team
  • Attorneys David Meyer and Matthew Wilson have been selected to the list of Super Lawyers since 2011 and 2015 respectively.

  • Attorney David Meyer is a member of the Million Dollar Advocates Forum, an organization recognizing attorneys who have secured million dollar cases.

  • Martindale-Hubbell® Peer Review Ratings™ has recognized attorney David Meyer as an AV Preeminent® attorney in High Ethical Standing.

  • Attorneys David Meyer and Matthew Wilson have received a 10 out of 10 “Superb” rating on Avvo, calculated based on stringent and exhaustive criteria.

  • 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.

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

  • Meyer Wilson was ranked as a Tier 1 Best Law Firm for both Mass Tort Litigation / Class Actions – Plaintiffs and Professional Malpractice Law – Plaintiffs by U.S. News.

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.

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.

Get Help With Your Case Now

  • Please enter the name of the investment firm.
  • Please enter how much money you lost.
  • Please enter your first name.
  • Please enter your last name.
  • This isn't a valid email address.
    Please enter your email address.
  • This isn't a valid phone number.
    Please enter your phone number.
    You entered an invalid number.
  • Please enter a message.