FINRA Arbitration

The attorneys at Vernon Litigation Group have decades of experience representing investors nationwide before Financial Industry Regulatory Authority (FINRA) arbitrators.  Arbitration is a form of alternative dispute resolution that aims to resolve legal issues outside of a courtroom.  Investors who have suffered damages at the hands of brokerage firms must bring their complaints before FINRA or possibly other regulatory bodies for mandatory arbitration.

Our attorneys are thoroughly versed in these proceedings and represent investors against brokerage firms and brokerage firms’ attorneys in the complex arbitration process. The attorneys at Vernon Litigation Group have also helped investors navigate past mandatory FINRA arbitration to take investor complaints to court through a precedent setting case that Vernon Litigation Group attorneys argued before the Florida Supreme Court.

In an effort to protect investors from unscrupulous and inept advisors, the attorneys at the Vernon Litigation Group have brought to FINRA’s attention gaps in the way broker misdeeds and negligent acts are reported.  These holes have on occasion left unwitting investors at continued risk from negligent or unscrupulous advisors.  The efforts of the attorneys at Vernon Litigation Group have led FINRA to propose changes in the way it reports and records complaints against investment brokers.



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