Whether you have a large or small estate, a wills attorney can help you plan for your future. The right plan allows people to age with dignity. Once you have the documents in place, you can enjoy the peace of mind that comes with planning. You will know that whatever situation arises, you will be…
What Does a Securities Arbitration Lawyer Do?
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.
Check out what others are saying about our services on Yelp: Read our Yelp reviews.
If you are buying or selling property, you will have to decide if you need to hire a real estate lawyer attorney. While not always necessary, an attorney is beneficial in many circumstances. First, determine when it is wise to hire an attorney. Then, schedule a consultation if needed.Buyers and sellers typically do not need…
Do you have an appointment with a child custody attorney, and you are unsure how to prepare? With the right preparation, you will have the documents and information your lawyer needs to develop a strategy for your case. First, find out what you should bring with you. Then, spend a day or two getting everything…
Divorce and child custody are two of the most emotional aspects of family law. You want to know as much about the process as possible, so you will be prepared to create an agreement and go to court. First, go over the answers to some of the most common questions related to divorce and child…