Securities Arbitration Versus Mediation


FINRA arbitration and FINRA mediation can be used to resolve disputes between investors and brokers without going to court. Most securities arbitration and mediation claims are filed with the Financial Industry Regulatory Authority (FINRA), the regulatory body charged with establishing and enforcing securities rules.

Multiple Avenues Of Resolution For Investor Grievances

Attorney Timothy J. Dennin has successfully handled FINRA mediation and FINRA arbitration for more than 25 years. Mr. Dennin has won scores of cases and hundreds of millions of dollars for investors, recovering money for the vast majority of his clients. Mr. Dennin is highly skilled at investigating negligence and representing his clients in FINRA disputes of all kinds. Because of his extensive experience with FINRA, he knows the processes, players and rules extremely well.

If you suffered loss as an investor, Mr. Dennin can represent you in FINRA arbitration or mediation related to:

  • Ponzi scheme losses
  • Broker malfeasance
  • Broker misrepresentation and omission
  • Selling away recommendations
  • A brokerage firm’s failure to supervise
  • Stock manipulation loss
  • Hedge fund losses
  • Initial public offering (IPO) fraud
  • CDO or CMO broker misrepresentation
  • Unsuitable concentration of securities

Which Route Is Best For My Situation?

Investors who believe they have been defrauded or suffered loss due to negligence are faced with the choice of whether to pursue arbitration or mediation in their quest to recover their money. Each option presents advantages and drawbacks that an experienced attorney can explain. For example:

  • FINRA mediation is voluntary, and the results are not binding. You can walk away from mediation.
  • FINRA mediation can be used as a first step in resolving a dispute.
  • FINRA arbitration presents a higher risk, since a panel’s decision is binding, but it also presents the opportunity for financial awards that a firm or broker must abide by.
  • FINRA arbitration can be an expensive, formal process similar to litigation in federal court.

Placing An Investment Mediation Lawyer On Your Side

Many investors have questions about FINRA arbitration and mediation, and about which route to choose. New York securities arbitration attorney Timothy J. Dennin, in Northport, provides a free consultation to investors who are weighing securities arbitration versus mediation. Contact the firm to schedule an appointment: 866-437-9475.