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FREE Review of Your Investment Fraud Case

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10 Warning Signs
you may have a Problem with your stockbroker, financial planner or investment advisor.

  1. You lose more money than you thought you were risking.

  2. Investment losses negatively impact your retirement or or lifestyle

  3. Your broker won't return your calls

  4. Your broker is good at telling you what to buy, but not what to sell

  5. You are losing money in an IRA or retirement account

  6. Your broker has more excuses than ideas

  7. Your broker suggests an annuity for your IRA account

  8. "Risk" is never part of the conversation

  9. Your broker says it's "safe", but your gut says differently

  10. Your "investment professional" loses a lifetime of your savings

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We are FINRA Arbitration Experts,
But What IS FINRA Arbitration??

FINRA arbitration is the stock brokerage industry’s dispute resolution system. FINRA arbitration provides a relatively inexpensive and consumer friendly way for investors to resolve financial disputes with their stockbrokers, financial planners and investment advisors. You should absolutely consider FINRA arbitration if you have lost more money with your broker than you thought you could lose, or for any of the other reasons we describe.

FINRA Broker check

FINRA Broker check is the stock brokerage industries' way of helping consumers to find out about their stockbroker’s background, employment history, disciplinary issues and customer complaints. Virtually every consumer advocate suggests that you use FINRA broker check to investigate any broker with whom you are considering doing business. Although much maligned for not being complete - with complaints that brokers have found all kinds of loopholes for not disclosing every complaint - we agree that FINRA broker check is a good place to determine where your broker has been, and what if anything is disclosed about his/her past in the industry.

Another option is to ask for confirmation in writing from your broker and his firm, that what is shown on FINRA broker check is complete and there are no other customer complaints that were expunged. Sometimes some brokers appear to have a “clean” record, but actually have been the subject of numerous customer complaints. SEC and FINRA should make that disclosure to the public, but as of right now, they don’t.

Do You Need an FINRA Lawyer?

The first question we hear is “don’t you need a lawyer to bring a claim at FINRA?” The short answer is no, FINRA (which used to be called the FINRA) rules allow customers to be represented , not just by FINRA lawyers, but by almost anyone with the expertise to do so. And we have more experience and have successfully concluded more claims over the past 18 years than most of the so-called FINRA lawyers who also regularly practice in these arbitration forums.

We approach securities cases in much the same way as a compliance officer or branch manager might. The question is - would you prefer to be represented by an attorney or someone that is an expert in your particular situation.

If you are suing because of a construction defect, would an experienced contractor make a good representative to advance your claim, or an attorney that never drove a nail. In a medical mal-practice claim, would you want an experienced surgeon as your advocate, or an attorney that has no ability whatsoever to perform surgery?

Arbitration has changed the landscape, allowing individuals that have good communication skills and expertise in a particular industry to provide more competent representation than attorneys in arbitration.

If you need to go to court, you must have an attorney. But, if you must go to FINRA arbitration, you need an expert, and there are very few attorneys with the expertise we have in the securities industry. Remember, arbitration is not an alternative form of litigation, rather it is an alternative to litigation.

The Securities arbitration process performed by Investors Recovery Service includes, at a minimum, the following actions:

  1. Research and evaluate your investment fraud claim.
  2. Prepare a demand letter identifying various violations of the FINRA Rules of Fair Practice governing stock broker / dealer conduct
  3. Prepare and properly submit a statement of claim.
  4. Review respondents answer to statement of claim with claimant(s).
  5. Respond to various motions raised by respondent(s).
  6. Prepare and serve document and information requests upon respondent(s).
  7. Respond to document and information requests served upon claimant(s).
  8. Participate in pre-hearing conferences (often involving disputes regarding Motion to Dismiss and document production).
  9. Carry on dialogue with respondent’s attorney or representatives, including settlement negotiations.
  10. Prepare exhibits and identify witnesses, (including experts) for the securities arbitration hearing.
  11. Plan and develop strategy for the securities arbitration hearing.
  12. Present claimant’s case at arbitration hearing (most often used forum - FINRA).

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Investors Recovery Service is not a law firm -
and we think that is a good thing - For YOU!

Investors Recovery Service
2 Commercial Blvd. Suite 203 Novato, California 94949

Phone: 415-382-7898  Toll-Free: 800-285-8507 Fax: 415-382-9421

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