Securities Arbitration

Since its inception, the law firm of Zamansky LLC has consistently been among the top law firms to file securities arbitration claims annually. Our firm has recovered tens of millions of dollars on behalf of aggrieved clients. Our securities arbitration attorneys have successfully filed claims against virtually all the nation’s brokerage firms, including all the major Wall Street institutions.

Why securities arbitration?

Arbitration, a requirement in brokerage disputes, affords investors considerable advantages. The process is considerably more expeditious than litigation and claims can often be heard within a year of being filed. Arbitration also is usually considerably less costly than litigation. Moreover, arbitration claims typically are binding, so brokerage firms cannot file endless appeals and force their clients to rack up extensive legal bills.

Who can file securities arbitration?

Any investor with a U.S. brokerage account can file an arbitration claim, regardless of whether they are a citizen or actually live in the country.

What are the costs associated with arbitration claims?

At Zamansky LLC, our FINRA arbitration attorneys typically work on a contingency or success fee basis when filing arbitration claims, meaning our fee is a portion of the amount we recover. This ensures that our firm’s interests are closely aligned with our clients’ interests. We bill out-of-pocket expenses at cost.

How do investors know whether they have legitimate claims?

Given our extensive experience, we can quickly determine the merits of potential claims. As our securities arbitration attorneys work strictly on a contingency basis, we only pursue claims where we believe there is a reasonably high probability of success. We offer clients a free, no obligation consultation.

What is FINRA?

The Financial Industry Regulatory Authority (FINRA) is an independent, not-for-profit organization committed to protecting investors and market integrity. Although it is not part of the United States government, Congress has authorized FINRA to independently regulate the securities industry in order to make certain that it operates fairly and honestly. FINRA is the largest independent regulator for securities firms in the U.S. and it operates the largest dispute resolution forum in the securities industry.

How can investors recover their losses through the FINRA arbitration process?

Investors can work with a securities arbitration attorney to prepare and file a statement of claim with FINRA. The statement of claim sets forth the facts of the case and the specific relief the investor is requesting. A FINRA arbitration panel will hear the case and reach a decision called an “award.”   The arbitration panel is comprised of one to three arbitrators depending upon the amount and type of relief requested. The arbitration panel’s award is final and binding upon the parties unless it is successfully challenged in court.

How can a securities arbitration attorney help investors recover their losses?

At Zamansky LLC, our securities fraud attorneys have more than 60 years of collective experience representing investors in arbitration and litigation cases against their brokers and brokerage firms.   In most situations brokerage firms will be represented by legal counsel at all stages of a FINRA arbitration proceeding. Investors who are considering filing a claim with FINRA should seek out the advice and counsel of an attorney skilled in the securities arbitration process. Our firm offers free consultations and we will review your case to determine the likelihood of securing a successful outcome through the FINRA arbitration process.