Reliable Representation for FINRA Arbitration Matters

Creative Solutions for Complex Disputes

It’s not uncommon for disputes to arise in the securities industry. But instead of proceeding to the courtroom, the Financial Industry Regulatory Authority (FINRA) provides alternative dispute resolution in the form of arbitration in front of experienced industry personnel and attorneys. Not only is arbitration less formal than litigation, but it is often the more time-efficient and cost-effective option for resolving disputes. The Law Office of Ying Zhou, PLLC provides accessible counsel and sophisticated solutions to investors, brokers, and other parties for a wide variety of securities-related disputes.

Resolving Your Securities Dispute Efficiently and Effectively

FINRA Arbitration is an alternative to litigation that allows parties to resolve disputes outside of court. Rather than have your case heard by a judge and determined by a jury, you will present your case to third party neutral arbitrators. This method of alternative dispute resolution can be highly effective in resolving securities matters involving a single claim or issues involving multiple securities. Attorney Ying Zhou is experienced in bringing FINRA arbitration claims on behalf of her investor clients against brokerage and/or brokers. She also often sits on the FINRA panel of arbitrators for adjudication of securities and/or brokerage liability claims.

There are many instances in which a claim can arise in connection with securities matters. Offering tenacious representation and dedicated advocacy, Attorney Zhou assists clients with resolving a broad scope of securities claims in arbitration, including the following:

  • Unsuitability claims
  • Churning
  • Misrepresentation and Fraud
  • Negligence
  • Unauthorized trading
  • Breach of contract
  • Breach of fiduciary duty

In some cases, arbitration might be mandatory. Investors may be required to arbitrate a claim if it is specified in an arbitration agreement, the issue involves a FINRA member, and the dispute concerns the securities business of the brokerage firm. A broker must arbitrate their case at FINRA if the dispute stems from the securities business activities of a brokerage firm and involves FINRA members. Since arbitration awards are usually binding and final, it is imperative to have skillful counsel to provide guidance through the process.

Securities-related disputes can be complex, and it is essential to have an attorney on your side who can provide an honest assessment of your claim. With two decades of experience handling FINRA arbitration matters, Attorney Ying Zhou possesses the depth of knowledge necessary to help you recover your monetary losses. She takes a comprehensive approach when it comes to representing their interests in FINRA arbitration matters to achieve the best possible results.

What Happens During the FINRA Arbitration Process?

FINRA arbitration provides a faster and less costly way to resolve a securities dispute and recover your investment losses. To begin the arbitration process, a Statement of Claim must be drafted describing the facts and circumstances that gave rise to the dispute. The document should also specify the relief sought, which can include monetary damages, interest, and specific performance. After the Statement of Claim has been filed with FINRA, it must be served on the respondents who must file an answer within 45 days.

Once the case has been commenced, the parties in the case must agree on an arbitrator. While claims up to $100,000 are heard by one arbitrator, claims exceeding $100,000 are decided by a panel of three arbitrators. After the arbitrators are appointed, a pre-hearing conference will be scheduled. At this conference, the schedule for the case will be set — this includes evidentiary hearing dates, discovery deadlines, and motion deadlines. Additional conferences may be scheduled as necessary to resolve any disputes that arise concerning discovery or motions.

After the case is underway, both sides can exchange information and obtain evidence through the discovery process. However, discovery is much more limited than it is in litigation and depositions are not permitted. If parties cannot agree on discovery matters, motions to compel and subpoenas can be used. An arbitrator may also issue sanctions if a party fails to adhere to a discovery order.

During the arbitration hearing, both sides will have the opportunity to argue their position. Arbitrations also allow for witness testimony as well as direct and cross-examination. In addition, each side can also offer any documents into the record as evidence. Each side can raise objections which the arbitrator will consider when evaluating whether the evidence can be entered into the record. Once both sides have presented their evidence, closing statements can be made.

Analyzing her clients’ concerns from every perspective, Attorney Ying Zhou understands the nuances associated with securities and investment disputes. Working relentlessly to achieve the most favorable outcome in every case, she strives to maximize each client’s chance of success. An experienced FINRA arbitrator herself, Attorney Zhou knows the system inside and out — and applies her extensive knowledge for the benefit of her clients.

Contact a Skillful FINRA Arbitration Attorney

The stakes are high when it comes to securities matters and it’s vital to have a trusted attorney to help you navigate the legal process of recovering your losses. Serving Philadelphia and the surrounding area, the Law Office of Ying Zhou, PLLC provides capable counsel to individual investors, corporations, financial advisors, stockbrokers, broker-dealers and others for a wide variety of FINRA arbitration matters. Call (215) 477-1888 to schedule a consultation to learn how Attorney Zhou can help you achieve your objectives.