Securities Litigation against Financial Planners

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Unlike in other industries and surrounding other tort issues, lawsuits involving securities fraud and broker misconduct are generally not resolved through trial by jury, mostly due to the fact that brokerage firms require customers to sign away that right before engaging the services of the brokerage firm. Instead, most securities industry lawsuits are arbitrated and mediated by FINRA, or the Financial Industry Regulatory Authority, the largest independent securities regulator of all securities firms in the US. FINRA’s mandate is “to protect investors by maintaining the fairness of the US capital markets.” They’re the industry watchdog, and in situations of dispute, they step in to mediate, arbitrate, award restitutions, and sanction or fine rogue brokers and firms. ### FINRA Arbitration vs Mediation FINRA Disputes can take one of two courses: arbitration or mediation. **Arbitration** Arbitration involves a process by which the interested parties select a neutral, third-party to listen to arguments, review evidence, and ultimately arrive at a decision on the matter at hand. By arbitrating your claim, you forego the right to take the same claim to court, and decisions rendered by the arbitrator in a FINRA dispute are final and legally binding. **Mediation** Mediation is different. In mediation, the same parties would submit to an informal, voluntary, non-binding process that is intended to help them reach a mutually acceptable resolution, and thus if possible, avoid arbitration or court. Here’s a more extensive side-by-side comparison chart provided by FINRA: include chart image ### Finding a Qualified FINRA Litigation Attorney Investors who have been the victim of broker misconduct or securities fraud generally avail themselves of the services of a qualified attorney before entering a FINRA Dispute. Since FINRA Disputes are specialized proceedings, it’s best to find an attorney who has considerable experience in this particular practice area. ### Philadelphia Securities Attorneys If you or someone you know has been the victim of investment fraud or broker misconduct, please contact our securities attorneys immediately for a free consultation at 215-462-3330 or by using our online contact form.
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What Makes Our Team of Lawyers Different?

At Green & Schafle, we work tirelessly every day to make sure our clients’ cases become our causes. Our clients have suffered some of the most tragic and catastrophic outcomes through no fault of their own and it is our job to not only advocate for them to get justice, but to also listen to their hardships and care about them as people so that we can be the best trial lawyers we can for their cases. At Green & Schafle, we advocate for our clients through three core principles:

Authentic. We will always be honest, forthright and direct when analyzing the merits of your case, the status of your lawsuit, and the reasonable outcomes associated your particular case.

Caring. We understand how important your case is to your future wellbeing and livelihood, and we strive to show the greatest amount of empathy for your individual situation so that we can prosecute your case that best benefits you.

Communication. We will always be responsive to your requests for updates and education on your case. This is a team effort and our goal to is make sure you are updated and informed every step of the way so that you can feel good about how your case is being handled.

These are our core principles at Green & Schafle where #GreenCares.


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Meet Adam Green

Adam is a founding partner and passionate trial lawyer devoted to nursing home litigation, securities and car accidents

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Adam Green Lawyer | Green and Schafle Phiadelphia

Meet Michael Schafle

Michael is a founding partner and the firm’s defective product and unsafe drug mass tort litigator

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Michael Schafle Lawyer | Green and Schafle Phiadelphia
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