Investment Fraud & Malpractice Attorneys

In most cases, legal actions against stockbrokers and investment advisors are filed in arbitration proceedings, rather than in court. Arbitration is similar to litigation, but in arbitration, rather than a judge or jury deciding your case, the decision is made by an arbitrator or panel of arbitrators, who are usually licensed attorneys. In addition, the procedural and evidentiary rules are more relaxed in arbitration than they are in court proceedings.

A large portion of our practice involves representing investors in arbitration proceedings administered by the Financial Industry Regulatory Authority (FINRA). Claims against stockbrokers are generally filed in an arbitration forum known as FINRA Dispute Resolution. Claims against investment advisors often have to be filed in arbitration forums such as AAA or JAMS. Each arbitration forum has its own procedural rules and filing fee requirements. Mika Meyers has experience advocating in all of the major arbitration forums and deals with a number of common claims.