FINRA Broker-Dealer

Success in a mandatory FINRA arbitration demands ready access to effective, cost-efficient legal representation. At Robins Kaplan LLP, our FINRA lawyers help brokerage firms, brokers, and other investment industry professionals maximize the advantages FINRA arbitrations offer.  We understand the specific, strategic requirements a FINRA arbitration demands because our experience includes representations of investors as well as investment professionals. As with our financial markets litigation on both sides of the courtroom, our involvement in all aspects of FINRA means we can anticipate the other side, predict likely positions and arguments, and drive better outcomes.  Accomplished litigators, our willingness and ability to take a matter to full arbitration also gives our clients more options and greater authority when settlement opportunities arise.  No matter the complexity or scope of the case, our FINRA representations help investment professionals and organizations resolve their most important broker-dealer disputes.