Our firm represents customers, associated persons and broker-dealers in FINRA arbitration. Our firm represents clients in FINRA arbitration that are involved in customer disputes relating to securities transactions in brokerage accounts subject to FINRA’s rules.
Our firm also defends clients that are subject to FINRA inquiries, investigations and disciplinary actions, including FINRA 8210 requests. We also represent associated persons in FINRA arbitration relating to employment disputes over compensation, promissory notes, terminations and defamation (Form U5).
We also represent clients that request expungement of CRD and Brokercheck information. Additional information relating to our FINRA expungement practice is located at FINRA Expungement.