What Does a Securities Arbitration Lawyer Do?

Securities Arbitration Lawyer Sea Girt, NJ

Investors and brokerage firms often hire a securities arbitration lawyer to handle disputes instead of going to court. Sometimes, investors and brokerage firms choose this option because it is more affordable. Other times, arbitration is required as part of the customer agreement. Find out what you can expect if you hire a securities arbitration lawyer.

Role of a securities arbitration lawyer

Securities arbitration lawyers handle cases related to investor fraud, misconduct, and mismanagement. They may also be hired for employment disputes and regulatory defenses. These lawyers represent clients on both sides of the issue. In both cases, securities arbitration lawyers strive to achieve the optimal outcome for clients.

Review the evidence to determine if the claim is viable

Sometimes, investors lose money and blame the brokerage firm, even when the firm did not do anything wrong. Moving forward with such a claim will cause the investor to waste time and money. A securities arbitration lawyer will review the evidence to determine if the client has a viable claim.

Strike arbitrators from the list

FINRA sends randomly generated lists of arbitrators to both sides before arbitration. Both sides can strike a specific number of arbitrators, depending on the nature of the case. They can also put the remaining arbitrators in order from most preferred to least preferred. In addition, a securities arbitration lawyer can review each arbitrator’s background to determine which ones are the right fit for the case, potentially increasing the client’s chances of reaching the desired outcome.

Representation at the pre-hearing conference

Both sides usually have attorneys present for the pre-hearing conference. This conference occurs on the phone, and it is used to discuss deadlines and hearing dates. Additional procedural issues are also addressed during the conference.

Help with discovery

The FINRA Discovery Guide outlines what each party must provide during the discovery process. An attorney can help the client prepare the documents to turn over to the other side. The attorney can also request documents that are not in the discovery guide. However, these documents must be relevant to the client’s claim or defense. Then, the attorney can review the documents and create a legal strategy.

Representation during the arbitration hearing

People are often surprised to learn that an arbitration hearing follows a format similar to a trial. It begins with opening statements, and then attorneys present evidence. Finally, it ends with closing statements. First, an attorney will present the evidence on behalf of the client. Then, after the ruling, the attorney can file an appeal if the ruling is not in the client’s favor.

Consult with a securities arbitration lawyer

You want to make a solid case during the arbitration process. That means the arbitrators need to hear the relevant evidence. A securities arbitration lawyer can help you during each step of the process, from selecting arbitrators and gathering evidence to presenting the case. Reach out to an attorney to learn more about securities arbitration and what you can expect during the process.

For more information or to schedule a consultation with us, call our Sea Girt office at (732) 449-0449. Call Anthony J. Cafaro, P.C. today.

NOTE: This is for informational purposes only and does not constitute legal advice.

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