Investment Securities

Financial institutions are mandated by law to treat your investment portfolio with integrity and honesty. Despite these protections, some brokers and brokerage firms have been accused of negligently handling the investments of their clients. A mishandled portfolio can significantly damage your financial security and potentially take years to recover from. Through arbitration on your securities claim, you could receive the compensation you need to take your life back.

The majority of security disputes are resolved through arbitration, but this can only work if both parties agree on this method of settlement. Arbitration is often beneficial to both parties, and when you team up with an experienced attorney, you can avoid potential mistakes and ensure you’re on track to secure the restitution you’re entitled to. 

Morgan & Morgan can advise you every step of the way to give your case the best possible outcome. Contact us today for more information.

What is Securities Arbitration?

Securities arbitration is a less complex method of solving a dispute with your brokerage. Most arbitration flows through the National Association of Securities Dealers (NASD), which acts as the neutral third party during the process and makes the final decision regarding misconduct. 

The following are a few common securities violations that allow you to seek compensation through arbitration:

  • Negligence if your financial institution provided inadequate or incompetent services.
  • Failure to Diversify is when your broker fails to spread your investment across multiple securities.
  • Breach of Fiduciary Duty is when a broker acts in their own interest rather than their client’s.
  • Unauthorized Trading is any investment transaction that was not first approved by you.
  • Churning is when brokers trade excessively to bolster their commission.

Arbitration saves everyone time and money and is often more beneficial to you than a prolonged litigation trial. However, each arbitration violation has a specific statute of limitations, so it’s important to secure a skilled attorney and act quickly.

How Can a Securities Arbitration Lawyer Help?

While arbitration is highly beneficial to the investor, it can also become very complicated to someone without legal experience. Access to legal advice during the early stages of your dispute can help you navigate the remainder of the process with ease and help you ensure you’re taking all the necessary steps to successfully recover your damages. 

In addition to general advice, your attorney can help you surpass any legal challenges that may arise during your arbitration. Complicated legal and regulatory laws can come into play and affect your eligibility for compensation, but your attorney’s legal guidance can help you in surpassing these obstacles. 

Getting Started With Morgan & Morgan

In the most difficult moments of your life, Morgan & Morgan has your back. Financial misconduct can have cascading consequences that restrict your ability to live a normal life. You shouldn’t have to bear the expense of a negligent brokerage, especially when there are laws that protect your rights. Our compassionate securities arbitration lawyers have the experience and resources to give your case the attention it deserves.


Contact us today to get started.

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