Stockbroker Arbitration

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

Stockbroker Misconduct & Arbitration Attorney

Do You Have a Stockbroker Misconduct Claim?

When you have an investment fraud or stockbroker misconduct claim, you will likely be facing mandatory stockbroker arbitration before the Financial Industry Regulatory Authority (FINRA). The brokerage firm will most certainly have high-powered sophisticated corporate lawyers defending them and trying to beat you. It is therefore imperative that you have an experienced securities arbitration attorney on your side, protecting your interests and fighting for your rights.

What Is Securities Arbitration?

Securities arbitration, an alternative to litigation, is the process of resolving a dispute between parties before a panel of arbitrators selected through a process agreed to by the parties. An arbitration award is final and binding with a limited review available by the courts. Arbitrations are conducted in accordance with the Uniform Code of Arbitration, developed by the Securities Industry Conference on Arbitration, and the rules of the organization where the claim is filed.

Why Are These Cases Handled in Mandatory Arbitration?

At the time you hired your broker, you were given many documents to sign and complete. In most all cases, these papers included a mandatory arbitration provision, which specifically stated that disputes must be arbitrated. Essentially, this provision means the case will not go to court. Most investors don’t pay close attention to this provision until an issue arises.

To initiate a stockbroker arbitration proceeding, you, or your attorney, will need to file a Statement of Claim and Uniform Submission Agreement with FINRA. Once these forms are filed and the appropriate fees are paid, the parties named in the Statement of Claim will be notified.

They must file an answer within 45 days. If the claim proceeds to arbitration, the case will be heard in front of an arbitration panel consisting of one to three individuals. They will listen to the testimony and evidence presented by both sides, before they reach their decision. The panel’s decision is referred to as an award, and is final and binding. There are only very few circumstances in which a stockbroker arbitration award can be challenged.

Mandatory FINRA Arbitration Has Its Advantages

While you may have no other option but securities arbitration, it definitely has its advantages:

  • The procedure is simplified, which can ultimately reduce the costs
  • Any arbitration award is generally paid quickly after the panel reaches its decision
  • 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

There Are Some Drawbacks to Arbitration

Arbitration does have disadvantages, such as the following:

  • 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.

Make Sure Your Securities Arbitration Lawyer Is Experienced

The brokerage firm will have sophisticated lawyers on their side who are well-versed in the securities rules, regulations, and procedures. You need a securities arbitration attorney who has experience and resources to help you win your case. At Meyer Wilson, we have represented over 800 individual and institutional investors from across the country in securities arbitration, litigation, mediation, and class action lawsuits. We are a law firm that other attorneys turn to when their clients have stockbroker misconduct or investment fraud claims. Our stockbroker arbitration lawyers are licensed in Ohio, California, and Michigan, and represent investors nationwide.

We also encourage you to watch our helpful video to learn more about non-lawyers vs. lawyers in arbitration hearings.

The Meyer Wilson Way

Results-Focused Representation
  • More than $350,000,000 Recovered
  • Voted Best Lawyers in America┬« for over Ten Years Running
  • David Meyer is the Immediate Past-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


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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