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Securities Arbitration FAQ

Answers to Your Questions About Securities & Investment Fraud

If you remain up to date on current events, it is likely that you regularly hear of corporate fraud. Headlines of Ponzi schemes and embezzlement frequently flash across the screen and litter news headlines, but how do you know if this is affecting you? You likely have many questions in regard to stock and investment fraud, which is why our attorneys want to make ourselves available to those with concerns. Listed below are some of the most common questions regarding securities arbitration. You are welcome to review these and to call our office to schedule a consultation with an attorney to have any specific questions answered and concerns addressed.

What is securities arbitration?

Arbitration is a form of dispute resolution in which the parties agree on a neutral third party, usually a panel of 1 to 3 people, to hear the evidence and decide the case. The decision of the arbitrator is usually final and binding.

What is FINRA?

The Financial Regulatory Authority (FINRA) is the largest independent regulator for all securities firms operating in the United States, overseeing about 4,700 brokerage firms, 167,000 branch offices and 635,000 registered securities representatives. FINRA not only regulates and enforces securities laws, it administers the largest dispute resolution forum for investors, registered securities representatives and securities firms. FINRA performs most securities arbitration claims.

What is the difference between arbitration and litigation?

The main difference between arbitration and litigation is that in arbitration a neutral panel of 1 to 3 arbitrators hears and decides the case instead of a judge or jury. Arbitration is private, while litigation takes place in a public courtroom. Discovery and evidentiary rules are more limited in arbitration than in litigation. Unlike court litigation where appeal of a verdict is possible, the arbitration decision is usually binding with no appeal possible. Securities arbitration historically has been favored over trial litigation because it is more efficient.

What are some common types of securities fraud claims?

Common securities arbitration and litigation grounds include claims of suitability, fraudulent omissions and representations, breaches of contract, breaches of fiduciary duty, unauthorized trading, churning and negligence.

Do I have a valid case?

Because there are so many variables to consider, the best way to determine if you have a valid case for securities arbitration or litigation is to consult with a lawyer. The securities arbitration attorneys of Napoli Bern Ripka Shkolnik, LLP are experienced in these types of cases and knowledgeable about current financial markets and state, federal and FINRA securities laws. We offer a free initial consultation to help you weigh your options.

Speak with us directly to learn more.

It is likely that you still have questions about securities fraud and how it relates to your particular situation. If you do, we encourage you to speak with an attorney from our firm. Calling us and filling out a case evaluation form are both free of charge to you. Napoli Bern Ripka Shkolnik LLP is dedicated to defending those who have suffered financial losses as the result of investment or securities fraud.

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