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Can I File a Misconduct Claim in Court?

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Can I File a Stockbroker Misconduct Claim in Court or Do I Have to Go Through Arbitration?

More than likely, your stockbroker misconduct claim will be handled in mandatory arbitration before the Financial Industry Regulatory Authority (FINRA). The majority of broker disputes are heard in front of a panel of arbitrators versus before a judge and jury. When you signed paperwork with your stockbroker, there was probably a provision included in your documents that outlined the details of how a dispute must be handled.

You may not have realized that you were agreeing to have potential claims resolved in stockbroker arbitration. There are some benefits of FINRA arbitration though, that should not be overlooked. For example, claims handled in arbitration generally cost less than going to trial and it typically does not take as long to recover your award. In addition, aggrieved investors who pursue claims in FINRA arbitration have the choice as to whether to have the case heard by an “all public” panel of arbitrators or to include one “industry” arbitrator who is knowledgeable in the securities industry.

For more information, contact an experienced investment fraud attorney at Meyer Wilson, LPA by calling or filling out our online form. The case evaluation is free. Be sure to order a FREE copy of attorney David Meyer’s book, Five Signs of Investment Fraud…And What to Do if it's Happened to You.

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