FINRA Arbitration Lawyer in Atlanta

If you suffered investment losses of more than $100,000 due to the misconduct of a stockbroker, investment advisor, or financial firm, our investment and securities fraud lawyers are here for you. In most investor disputes, the only path forward is to go through Financial Industry Regulatory Authority (FINRA) arbitration. An Atlanta FINRA arbitration lawyer can help.

At Meyer Wilson Werning, we understand the financial and emotional strain that accompanies significant investment losses. Our Atlanta investment fraud lawyers bring more than 75 years of combined experience representing investors harmed by broker misconduct. Contact our firm by phone or through our website to schedule a free, confidential case evaluation.

Resolving Investment Disputes Through FINRA Arbitration

Most investor disputes with brokerage firms or registered representatives must be brought through FINRA arbitration. Account agreements usually prevent these claims from proceeding in state or federal court.

FINRA operates as a congressionally authorized, self-regulatory nonprofit that oversees broker-dealers and their registered representatives nationwide. Through its enforcement authority and rulemaking role, FINRA works to protect investors and promote fair and compliant conduct across the securities industry.

Investment account agreements almost always include arbitration clauses requiring that disputes be handled through FINRA rather than the court system. At Meyer Wilson Werning, our legal team manages every aspect of the arbitration process. We have extensive experience handling a wide range of investment misconduct cases, including:

• Unauthorized or excessive trading
• Broker negligence
• Unsuitable investment recommendations
• Improper asset allocation
• Failure to supervise brokers or registered representatives
• Breach of fiduciary duty
• Misrepresentation or omission of material facts
• Churning and excessive commissions

This list is not exhaustive. If you have experienced any form of investment-related wrongdoing, our firm is prepared to evaluate your case and pursue recovery on your behalf.

Why FINRA Arbitration Is Often the Best Path to Recovery

Arbitration differs from traditional litigation and offers several advantages for investors. FINRA arbitration generally moves more quickly than court proceedings and tends to be more cost-effective. Even so, arbitration still presents significant procedural and strategic challenges. 

Brokerage firms routinely hire large defense teams with extensive experience in FINRA proceedings. Without skilled legal representation, you may find yourself at a serious disadvantage when suing your financial advisor or brokerage firm. Retaining an experienced FINRA arbitration attorney serving Atlanta can help level the playing field.

Most Securities Disputes Are Required to Go Through FINRA Arbitration

When you open an investment account, you are typically required to sign an account agreement outlining how your investments will be handled and defining the legal relationship between you and the brokerage firm. Nearly all of these agreements include a mandatory arbitration clause specifying that disputes must be resolved through FINRA arbitration.

Brokerage firms strongly favor arbitration for several reasons, including its efficiency and privacy. Unlike courtroom trials, FINRA arbitration hearings are not open to the general public. This confidentiality can be appealing to firms seeking to limit public exposure.

While arbitration may feel unfamiliar to many investors, an experienced Atlanta FINRA arbitration attorney can guide you through each phase of the process and help ensure that your rights are protected at every step.

How a FINRA Arbitration Lawyer Serving Atlanta Can Guide You Through the Process

FINRA’s  Code of Arbitration Procedure governs every stage of an arbitration claim, from filing through final award. This code establishes deadlines, evidentiary rules, and procedures that differ significantly from traditional court litigation. Understanding and complying with these rules is critical to presenting a successful claim.

Filing the Statement of Claim

The arbitration process begins with filing a Statement of Claim. This document sets the foundation for your case and provides arbitrators with their first substantive look at your allegations. It outlines the facts, identifies the parties involved, describes the misconduct, and specifies the damages sought.

Because the Statement of Claim is so important, it should be prepared by an attorney with extensive securities arbitration experience. Brokerage firms and financial advisors almost always respond with detailed defenses drafted by seasoned legal teams. 

Having a knowledgeable Atlanta FINRA arbitration attorney on your side helps ensure that your claim is clearly presented, well-supported, and strategically positioned from the outset. Your Statement of Claim should clearly explain:

• How your investments were mishandled
• What rules or duties were violated
• The financial losses you sustained
• Why the brokerage firm or advisor is legally responsible

FINRA Arbitration Hearings

The size of your claim largely determines how the arbitration will proceed. There are three different scenarios for arbitrating a claim:

• Claims under $50,000: Typically decided by a single arbitrator based solely on written submissions. No in-person hearing is required.
• Claims between $50,000 and $100,000: Usually handled by one arbitrator, but a hearing is held where both sides may present evidence and testimony.
• Claims exceeding $100,000: Decided by a panel of three arbitrators after a formal evidentiary hearing. A majority decision determines the outcome.

Once your claim is filed, the arbitration process generally takes 12 to 16 months to conclude. During this period, your attorney will gather evidence, conduct discovery, prepare witnesses, and develop a compelling presentation for the hearing. Arbitration hearings often last three to five days, although more involved cases may extend longer.

FINRA Arbitration Decisions

Rulings made in FINRA arbitration are legally binding and final. Appeals are extremely limited and allowed only under very narrow circumstances. Once a decision is reached, FINRA issues a written award that includes:

• The names of all parties
• A summary of claims and defenses
• The arbitrators’ rulings on each claim
• The amount of damages awarded, if any

If you prevail, the brokerage firm or financial advisor is required to pay the awarded amount within 30 days. Failure to comply can result in severe penalties, including suspension of the firm’s or advisor’s FINRA registration. 

Your Atlanta FINRA arbitration attorney can also pursue collection through legal mechanisms such as garnishment or asset levies if payment is not made promptly.

Work With an Atlanta FINRA Arbitration Attorney Today

If you suffered losses due to investment fraud or broker misconduct, working with an experienced FINRA arbitration attorney serving Atlanta, GA, can make a meaningful difference in your recovery efforts. At Meyer Wilson Werning, our case results show how our award-winning legal team has recovered more than $350 million on behalf of investors.

We are committed to providing personalized attention, strategic advocacy, and clear communication throughout every stage of your case. Contact us today by completing our online contact form or calling our office to schedule your free initial consultation. Our lawyers work on a contingency fee basis, which means you only pay us if we recover compensation for you.