Law360's FINRA Arbitration Survival Guide

By Ed Beeson (February 23, 2016, 8:05 PM EST) -- Just because the Financial Industry Regulatory Authority's dispute resolution process promises to be quicker, cheaper and simpler than heading to federal court doesn't mean it is a walk in the litigation park, experts say. Instead, the forum has its own idiosyncrasies that can sink even seasoned trial lawyers.

A forum unlike others, FINRA arbitration is the place where investors have to go to resolve grievances with brokerages and registered representatives. If they believe their account has been churned or they were sold unsuitable investments, chances are FINRA arbitration or mediation is the only way they will be able to get some...

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