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Los Angeles FINRA Arbitration Attorney

Los Angeles FINRA Attorney. Los Angeles FINRA Lawyer
FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, securities firms and individual registered representatives.

Dispute Resolution Process

Business in the securities industry for the most part is conducted fairly, efficiently, and in a manner that satisfies everyone involved. Occasionally, however, disputes or problems arise. For example, you may disagree with how your broker handled a transaction. If you cannot resolve the matter yourself, there are effective alternative dispute resolution mechanisms, which usually result in a swift conclusion without the inconvenience and expense of a court "battle."


Dispute resolution methods, including mediation and arbitration, are non-judicial processes for settling disputes between two or more parties. In mediation, an impartial person, called a mediator, assists the parties in reaching their own solution by helping to diffuse emotions and keeping the parties focused on the issues. In arbitration, an impartial judge, called an arbitrator, hears all sides of the issue, studies the evidence, and then decides how the matter should be resolved. The arbitrator's decision is final.


Despite precautions taken to invest safely and intelligently, it is still possible for a dispute to occur. Mediation and arbitration are important methods of dispute resolution that have been used successfully by the securities industry and others, but they generally should not be your first steps. Whether it is a discrepancy that has just arisen, or a disagreement that has escalated into a full-fledged dispute, the first course of action should be to report the matter to your broker's manager. Often, management has the authority and insight to take steps that will rectify the problem quickly and easily. If it is just a misunderstanding, management intervention may be enough to put the transaction back on course.


If the brokerage firm's management does not resolve the complaint within a reasonable period, you may want to seek legal advice. Even if you choose arbitration and/or mediation over a lawsuit to resolve the dispute, an attorney can provide you with valuable instruction and advice, and can help weigh the advantages and disadvantages of each method. Although not required, you have the right to have an attorney in mediation and arbitration. Keep in mind that in most cases, an experienced attorney will represent the brokerage firm.




Before entering into arbitration or litigation, consider mediation--a natural first step in the dispute resolution process. Mediation is an informal process in which a trained and impartial mediator facilitates negotiations between disputing parties, helping them to find their own mutually acceptable resolution. What distinguishes mediation from other forms of dispute resolution--principally, arbitration and litigation--is that the mediator does not impose the solution, but rather, helps make it possible for you and the other party to form and accept a solution yourselves.


Mediation is not structured rigidly. The actual process varies from case to case, depending largely on the mediator's "style" and the frames of mind of those involved. In some cases, you and the other party might meet to discuss the issues face-to-face, with the mediator there to help you remain focused and calm. In other cases, the mediator might hold private caucuses with each of you separately, and would then carry messages--offers, counter offers, questions, demands, and proposals--back and forth between you. Often, the mediation process consists of a combination of both methods, plus any other technique the mediator feels is useful in moving the negotiation forward.


The mediator's role is to guide you and the other party toward your own solution by helping you to define the issues clearly and understand each other's position. Unlike an arbitrator or a judge, the mediator has no authority to decide the settlement or even compel you to settle. The mediator's "key to success" is to focus everyone involved on the real issues of settling--or the consequences of not settling. While the mediator may referee the negotiations--defining the terms and rules of where, when, and how negotiations will occur--he or she never determines the outcome of the settlement itself.


The mediator also serves as an agent and mirror of reality. With the help of the mediator, disputants often see things they initially did not want to see (like the weaknesses of their own case and the strengths of the other party's case) or they get a clearer view of matters previously distorted by anger and emotion. Since securities industry mediators are knowledgeable in the areas of controversy, they can often give each side an expert, but unbiased, view of the strengths and weaknesses of the case overall.


Historically, business disputes submitted to professional mediation services have had a settlement rate of about 80 percent. Mediation experts attribute this to the parties' complete control over the process, costs, and outcome. If you feel good about the process, you will likely approach it with enthusiasm and good intentions. Approximately eight out of ten cases settle within a few weeks to a few months of the formal agreement to mediate--when everyone approaches the mediation table in earnest.


You may consider mediation successful even when the dispute does not settle fully in the mediation process. Sometimes parts of a dispute settle in mediation, leaving fewer or less severe differences to be settled in arbitration or litigation--translating into huge savings of time and money for everyone involved. Generally, the mediation process improves communications, helps to narrow the issues involved, clears up misunderstandings, diffuses emotion, and defines areas of agreement so that future dispute resolution efforts, especially in arbitration, can become more efficient, effective, and more likely to produce settlement down the road.



When it seems that other efforts to resolve your dispute are not working, it is then time to decide whether you will file a claim to arbitrate. Even if you choose, or are required to use, arbitration rather than a lawsuit as a means of resolving your dispute, you should consider hiring an attorney who will provide valuable instruction and advice.


Arbitrators are people from all walks of life and all parts of the country. After being trained and approved, they serve as arbitrators when selected to hear a case. Some arbitrators work in the securities industry; others may be teachers, homemakers, investors, business people, medical professionals, or lawyers. What is most important is that arbitrators are impartial to the particular case and sufficiently knowledgeable in the area of controversy. Potential arbitrators submit personal profiles to FINRA; the profiles detail their knowledge of the securities industry and investment concerns. If accepted, their names and backgrounds go into a pool from which arbitrators are selected for any given case. Arbitrators do not work for FINRA, though they receive an honorarium from FINRA in recognition of their service.

 Our law offices provide the following services:  

  •    Representation in FINRA arbitrations and mediations and related state and federal court proceedings such as petitions to confirm or vacate arbitration awards.
  •   Representation of business brokers, M&A intermediaries,  and middle market investment banks, in litigation and administrative proceedings before government agencies such as DRE and the SEC. 

Locations of practice:   Los Angeles FINRA Arbitration Attorney, San Fernando Valley FINRA Arbitration Attorney, Conejo Valley FINRA Arbitration Attorney, Beverly Hills FINRA Arbitration Attorney, Encino FINRA Arbitration Attorney, Tarzana FINRA Arbitration Attorney, Woodland Hills FINRA Arbitration Attorney, West Hills FINRA Arbitration Attorney, Canoga Park FINRA Arbitration Attorney, Studio City FINRA Arbitration Attorney, Van Nuys FINRA Arbitration Attorney, Burbank FINRA Arbitration Attorney, Canoga Park FINRA Arbitration Attorney, Reseda FINRA Arbitration Attorney, Universal City FINRA Arbitration Attorney, Hollywood FINRA Arbitration Attorney, North Hollywood FINRA Arbitration Attorney,  Chatsworth FINRA Arbitration Attorney, Granada Hills FINRA Arbitration Attorney, Sylmar FINRA Arbitration Attorney, West Hollywood FINRA Arbitration Attorney, Anaheim FINRA Arbitration Attorney, Orange County FINRA Arbitration Attorney, Marina Del Rey FINRA Arbitration Attorney, Venice FINRA Arbitration Attorney, Santa Monica FINRA Arbitration Attorney, Malibu FINRA Arbitration Attorney, Culver City FINRA Arbitration Attorney, Manhattan Beach FINRA Arbitration Attorney, Hermosa Beach FINRA Arbitration Attorney, Redondo Beach FINRA Arbitration Attorney, Torrance FINRA Arbitration Attorney, Pacific Palisades FINRA Arbitration Attorney, Bakersfield FINRA Arbitration Attorney, Burbank FINRA Arbitration Attorney, Pasadena FINRA Arbitration Attorney, Glendale FINRA Arbitration Attorney, Long Beach FINRA Arbitration Attorney, Newport Beach FINRA Arbitration Attorney, Orange FINRA Arbitration Attorney, Riverside FINRA Arbitration Attorney, San Bernardino FINRA Arbitration Attorney, Irvine FINRA Arbitration Attorney, Costa Mesa FINRA Arbitration Attorney, San Diego FINRA Arbitration Attorney, Irvine FINRA Arbitration Attorney, Fullerton FINRA Arbitration Attorney, San Francisco FINRA Arbitration Attorney, Sacramento FINRA Arbitration Attorney, Santa Ana FINRA Arbitration Attorney, Los Angeles County FINRA Arbitration Attorney, Santa Barbara FINRA Arbitration Attorney, Southern California FINRA Arbitration Attorney, Calabasas FINRA Arbitration Attorney, Agoura Hills FINRA Arbitration Attorney, Thousand Oaks FINRA Arbitration Attorney, West Lake Village FINRA Arbitration Attorney, Oak Park FINRA Arbitration Attorney, Simi Valley FINRA Arbitration Attorney, Los Angeles FINRA Arbitration Lawyer -Los Angeles FINRA Arbitration Attorneys - Los Angeles FINRA Arbitration Law Firms - Los Angeles FINRA Arbitration Law Firm - Los Angeles  FINRA Arbitration Lawyers - California FINRA Arbitration Attorney - California FINRA Arbitration Lawyer - FINRA Arbitration Firm- Los Angeles FINRA Arbitration Law Firm - California FINRA Arbitration Court - FINRA Arbitration - FINRA Arbitration Attorney - FINRA Arbitration Court - los Angeles FINRA Arbitration lawyers - FINRA Arbitration law - FINRA Arbitration Lawyer - FINRA Arbitration Services -FINRA Arbitration lawyers los Angeles. 

15915 Ventura Blvd. Suite #301, Encino, CA 91436 
Phone: 818-783-4645  
433 N. Camden Drive, 6th Floor, Beverly Hills, CA 90210 
Phone:  (310) 779-4537